Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Johann Schuster, (Claimant) vs. Sands Brothers & Co., Ltd., Howard Joseph Allen III, Joseph Quinlan McGowan, and Peter Tongpil Pak, (Respondents) Case Number: 00-02784 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Johann Schuster, hereinafter referred to as "Claimant": Norris D. Wolff, Esq., Kleinberg, Kaplan, Wolff & Cohen, P.C., New York, NY. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03623 Frank A. Arango Carmen M. Arango Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Antonio Vidal Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frank A. Arango ("FAA") and Carmen M. Arango ("CMA"), hereinafter collectively referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Anthony Merlino Names of the Respondents First Union Securities, Inc. and Randy David Brehne Case Number: 02-03621 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For the Estate of Anthony Merlino, hereinafter referred to as "Claimant": Thomas M. Gandolfo, Esq., Gandolfo Law Firm, Bellmore, New York and Heather M. MacKendree

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lewis S. Elliott Name of the Respondent Datek Online Financial Services, Inc. Nature of the Dispute: Customer vs. Member Case Number: 02-03620 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Lewis S. Elliott, referred to as "Claimant": Stephen D. Spivey, Esq., Law Offices of Stephen D. Spivey, P.A., Ocala, Florida, and Robert E. Land

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Cuddy and The Estate of Nicole Cuddy, Claimants v. Sands Brothers & Co., Ltd., Rolan Shnayder> Martin S. Sands, Steven B. Sands, and Robert J. Bonaventura, Respondents Case Number: 02-03618 Hearing Sites: Anchorage, Alaska Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Richard A. Stephens, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03617 Anna Gick Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Nature of Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Anna Gick, hereinafter deferred to as "Claimant": Scott J. Link, Esq. and Ryon McCabe, Esq., Ackerman Link & Sartory, P.A., West Palm Beach, Florida. For Morgan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Continental Broker-Dealer Corp. (Claimant) vs. Richard DeCarolis (Respondent) Case Number: 02-03610 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Continental Broker-Dealer Corp. ("Claimant"): Gary Fischoff, Esq., Steinberg, Fineo, Burger & Fischoff, Woodbury, NY. Previously represented by Timothy Feil, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan Keisling and Dania Keisling (Claimants) v. UBS Paine Webber, Inc. n/k/a UBS Financial Services, Inc., Barbara Case, and Cheryl Brady (Respondents) Case Number: 02-03609 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Allan Keisling ("A. Keisling") and Dania Keisling C'D. Keisling") here

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary C. Cheng., Claimant v. M. One Investment Securities, Inc. and William Yang, Respondents rase Number: 02-03606 Hearing Site: San Franr.ificn ; California Nature of the Dispute: Associated Person v. Member and Associated Person OF PARTTKS For Claimant: Diane K. Godfrey, Esq. Law Offices of Diane K. Godfrey Dublin, California For Respondents: Laura M. Franc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary C. Cheng, Claimant v. M. One Investment Securities, Inc. and William Yang, Respondents Case Number: 02-03606 Hearing Site: SanFrancisco,California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Diane K. Godfrey, Esq. Law Offices of Diane K. Godfrey Dublin, California For Respondents: Laura M. Franco, Esq.