Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants Paul & Helen Drexel and Respondents A.G. Edwards & Sons, Inc., and John M. Wray Case Number: 00-02754 Hearing Site: Houston, Texas ' REPRESENTATION OF PARTIES Claimants Paul L. Drexel, and Helen Drexel, hereinafter collectively referred to as "Claimants", were represented Charles R. Dunn, Esq. of Dunn, Kacal, Adams, Pappas, & Law, located in Houston, Texas. R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03116 James Hayett, claimant vs. SII Investments, Inc., respondent. ATTORNEYS: For Claimant appeared James Bolt, Esq., of the firm Ladd, Milaeger, Wimmer, LLP, Waukesha, WL For Respondent appeared in-house counsel, Gerry Gunderson, Esq., Bismarck, ND. DATE FILED: May 5, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions owed under the terms of the Regis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03114 First Union Securities, Inc. Name of the Respondent Hearing Site: Tampa, Florida Ronald Gerino Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Union Securities, Inc., hereinafter referred to as "Claimant": Thomas B. Lewis, Esq., Stark & Stark, P.C., Lawrenceville, New Jersey. For Ronald G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03113 First Montauk Securities Corp. Names of the Respondents Hearing Site: Boca Raton, Florida Derek Radzikowski Michael Moore Ramsey Carp en Casey Burt REPRESENTATION OF PARTIES For First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq., First Montauk Securities Corp., Red Bank, New Jersey unt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dwight Luck and Lynne Luck and Names of Respondents D.L. Cromwell Investments, Inc. Daniel J. Gallagher, Bernard D. Flamenco, Lloyd S. Bierne, David S. Davidson, and Joel A. Nazareno Case Number: 02-03107 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Dwight Luck and Lynne Luck ("Claimants") were represented by David J. Feingol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: LaSalle St. Securities, LLC (Claimant) v. Arnold Nazarian (Respondent) Case Number: 02-03103 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant LaSalle St. Securities, LLC ("LSS") hereinafter referred to as "Claimant": David A. Genelly, Esq., Vanasco, Genelly & Miller, Chicago, IL. Respondent Arnold Nazarian ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George De Novellis and Eleanor DeNoveliis (Claimants) vs. Andrew Sirico (Respondent) Case Number: 02-03100 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants George DeNoveliis and Eleanor DeNoveliis, hereinafter referred to as "Claimants": Mark Zuckerman, Esq., Valley Stream, NY. Respondent Andrew Sirico, hereinafter referred to as "Respondent": Eric J. Sussman, Esq.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lorna Bush LaRue and Case Number: 02-03097 Hearing Site: Houston, Texas Names of Respondents Sunset Financial Services, Inc., Reinking Asset Management Inc., Mark Reinking, and Does 1 through 50 NATURE OF CASE Customer v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Lorna Bush LaRue ("Claimant") was repres

NASD Dispute Resolution Arbitration No. 02-03093 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Agostinho S. and Donna Cervo-Sila (Claimants) vs. Kevin Mullins, Quick & Reilly, Inc. and Summit Financial Services Group, Inc. (Respondents) Case Number: 02-03093 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Agostinho S. and Donna Cervo-Silva ("Claimants"),: Pamela Chepiga, Esq.,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: MARY J. ROBBINS (Claimant) vs. SIGNATOR INVESTORS, INC., and BRUCE D. JONES (Respondents) Case Number: 02-03092 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Mary J. Robbins, hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence, RI Respondents, Signator Investors, Inc. ("Signat