Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martha B. Hanson, Claimant, vs. Morgan Stanley Dean Witter, Inc., Respondent. Case Number: Hearing Site: 02-03174 Houston, Texas Nature of Dispute: Customer v. Member Firm PTTOS Claimant Martha B. Hanson, hereinafter referred to as "Claimant," was represented by Theo W.i Pinson, Esq. of The Law Offices of Pinson & Associates, P.C. located in Houston,: Tex

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03173 Prime Charter LTD, claimant vs. Glenn H. Gerson, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: May 31, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under the terms of a Promissory Note. Claim Data Award Data Claim: $10,666

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant /Counter Respondent Mark D. Monaco Name of the Respondents/Counter Claimant CISC World Markets Corp. and Carl Chaleff Case Number: 02-03171 Hearing Site: Chicago, Illinois Claimant/Counter Respondent Mark D. Monaco ("Monaco") was represented by Jerome R. Weitzel, Esq. of the firm Paul J. Kozacky & Associates, PC with offices located in Chicago, Illin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Stark Conroy (a/k/a Linda A. Stark) and Jessica Stark (Claimants) v. First Allied Securities, Inc., Bear Stearns Securities Corp., Bear Stearns Companies, Inc., Al Han, Tiy O'Neal, Suzanne Walker, Barbara Fiegelman, Jeffrey Kahn, and Robert Moses (Respondents) Case Number: 02-03170 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members, Non-Member, and As

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gretchen Conte, Claimant v. A.G. Edwards & Sons, Inc. and Cyrille P. Mahfoud, Respondents Case Number: 02-02843 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: William S. Bonnheim, Esq. Law Offices of William Bonnheim, PLC Palm Desert, California Clay L. Grumke, Esq. A.G. Edwards & Sons, Inc. St. Louis, Misso

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02839 Legg Mason Wood Walker, Inc., claimant vs. Christopher A. Arriviello, respondent. ATTORNEYS: ~~ For Claimant appeared in-house counsel Jason W. Gaarder, Esq., Baltimore, MD. Respondent did not respond to the Statement of Claim. DATE FILED: May 15, 2002 CASE SUMMARY: Claimant alleged that respondent has failed to repay monies owed pursuant to the terms of a Promissory Note. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02702 John O'Toole, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se, Fort Myers, FL. For Respondent appeared James J. Vihstadt, Esq., in-house counsel, formerly represented by Andrew J. Harger, Esq., Bellevue, NE. DATE FILED: June 22, 2000 " CASE SUMMARY: Claimant alleged that due to Otrading errors and respondent's negligence with respect to the purcha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * Mn m hff 02-02838 Stephen Karasick, M.D. David Karasick, M.D, Hiring sjtp- Philadelphia, PA Merrill Lynch Pierce Fenner & Smith Inc. OF Claimants, Stephen Karasick, M.D. ("S. Karasick") and David Karasick, M.D. ("D. Karasick 1 '), hereinafter collectively referred to as "Claimants", were represented by Arnold I. Kalman, Esq., Attorney at Law, Philadelph

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael P. Fallon as Trustee of the Michael P. Fallen Trust Names of the Respondents Benchmark-Pellinore Group, Inc. David Gorman Richard Messina Case Number: 02-02833 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Michael P. Fallon as Trustee of the Michael P. Fallon Trust, hereinafter referred to as "Claimant": Eric M. Nors

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Archer (Claimant) v. Morgan Wilshire Securities, Inc., Dimitri Metelkin, Barry F. Cassese, Michael J. Finnan, Russell J. Speranza, Charles Carrillo, and Edward C. Maher (Respondents) Case Number: 02-02832 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert A. Archer ("Archer") her