Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Nntnner; 02-02827 Michael J. Bigley, Name of the Respondents Rearing Site: Houston, Texas First Montauk Securities Corp., Kevin J. Gillen, Claimant Michael J. Bigley, hereinafter referred to as "Claimant," was represented by Scott P. Jones of Jones, Rogers & Navarro located in San Antonio, Texas. Respondents First Montauk Securities Corp, and Kevin

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gary Levitt and Phyllis Levitt and Names of Respondents Linsco/Private Ledger Corp. and Kenneth G. Brandt Case Number: 02-02825 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Gary Levitt and Phyllis Levitt ("Claimants") were represented by Dean J. Groulx, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02824 Dr. Caesar A. Deieo Name of the Respondents Hearing Site: Chicago, Illinois Prudential Securities, Inc. Sandra L. Morris REPRESENTATION OF PARTIES Claimant Dr. Caesar A. Deleo ("Deleo") was represented by Howard J. Stein, Esq., with law offices located in Chicago, IL. Respondents Prudential Securities, Inc. ("Prudential") and Sa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02822 Gordon Franklin Ward, Jr Names of the Respondents Hearing Site: Atlanta, Georgia James W. Cox, IV, Vice President, Securities Compliance and Wachovia Securities, Inc. REPRESENTATION OF PARTIES Claimant Gordon Franklin Ward, Jr. appeared pro se. For James W. Cox, IV, Vice President, Securities Compliance ("Cox") and Wachovia

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven C. Signer V. 02-02821 Denver, Colorado Name of Respondent/ Cross-Claimant Global Capital Securities Corporation V. Name of Respondent/ Cross-Respondent Fiserv Securities, Inc. Name of Claimant (Consolidated w/ 02-02836) Global Capital Securities Corporation Denver, Colorado V. Name of Respondent Fiserv Securities, Inc. REPRE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02819 Michael R. Price, claimant vs. Murjen Financial, Inc. and Jason Zahtila, respondents. ATTORNEYS: For Claimant appeared Mark E. Mershon, Esq., Cedar Falls, IA. For Respondents appeared Charles M. O'Rourke, Esq., Woddbury, NY. DATE FILED: May 15, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresented information regarding the purchase of 1,000 shares of GAP, Inc. Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ! Name of Claimant James Wallis and 02-02816 Oklahoma City, Oklahoma Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ( Henry M.BIodget Merrill Lynch & Co. ' . ' Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES James Wallis ("Claimant") was represented by K.C. Allan, Esq., and Alice Mclnern

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02700 Henry Molloy, Claimant vs. BlueStone Capital Partners, L.P., Respondent. ATTORNEYS: Claimant, Henry Molloy, ("Claimant"), appeared through, Kenneth R. Wright, Esq., of the firm of Hayes Simpson Greene, LLP, San Diego, CA. Respondent, BlueStone Capital Partners, L.P., ("Respondent"), appeared through its in-house counsel, David A. Gehn, Esq., New York, NY. DATE FILED: June 26,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: - * ^ L ,, -j^jp^ Ruth McCutcheon, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Andrew C. Anagnostou, Respondents Case Number: 02-02815 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Patrick Baldwin, Esq. Christine McNamara, Esq. Baldwin & McNamara

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Arlene J. Ballerini, individually and as Trustee for the Arlene J. Ballerini Revocable Trust Names of the Respondents Prudential Securities, Incorporated Joel Josephs Robert Heckler Case Number: 02-02814 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE