Award NASD In the Matter of the Arbitration Between: Name of the Claimant Virginia S. Grand, TTEE U/A/D 8/22/96 FBO Virginia S. Grand Trust Names of the Respondents Morgan Stanley DW, Inc. Bruce Baird Case Number: 02-02812 'Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Virginia S. Grand, TTEE U/A/D 8/22/96, FBO Virginia S. Grand Trust ("Claimant 5 '): William T. Kirtley, Esq., William T. Kirtley, P.A., Sarasota,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Debbra L. Adrian and 02-02811 Kansas City, Missouri Name of Respondents Morgan Stanley DW, Inc. Gregory Price REPRESENTATION OF PARTIES Debbra L. Adrian ("Claimant") was represented by Roger N. Walter, Esq., Morris, Laing, Evans, Brock & Kennedy, Chartered, Topeka, Kansas. Morgan Stanley DW, Inc. ("Respondent Morgan Stanley") and Gregory Price ("R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riflimantg Paw Nnmher- 02-02807 C. Thomas Esterly ring Site- Philadelphia, PA Merrill Lynch Pierce Fenner & Smith Inc James E. Geosits py.pRF. R FNTA TTON OF Claimant, C. Thomas Esterly ("Esterly"), hereinafter referred to as "Claimant", was represented by Edward C. Mengel, Jr., Esq., White and Williams LLP, Philadelphia, Pennsylvania. Respondents, Merril

NASD Dispute Resolution Arbitration No. 02-02805 Award Page 1 of 7 NASD Dispute Resolution In the Matter of the Arbitration Between: Penny Coleman and Flour and Flour, Inc. by Madeline Poley, (Claimants) v. A.G. Edwards & Sons, Inc. and Stephen R. Facella, (Respondents) Case Number: 02-02805 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Penny Coleman ("Coleman") and Flour and Flour, Inc. by Madeline Poley ("Poley"): herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gunes Omar (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., John Regan, Peter Zubizaretta, and Randall Bodner (Respondents) v. Zeki Omar (Third-Party Respondent) Case Number: 02-02802 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons vs, Third-Party REPRESENTATION OF PARTIES Claimant Gunes Omar ("G. O

Award NASD Name of the Claimant Mark D. Kaufman Case Number: 02-02801 Name of the Respondent Berry Shino Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant Mark D. Kaufman ("Kaufman") appeared pro se. For Berry Shino Securities, Inc. ("BSS")» hereinafter referred to as "Respondent*': R. Matthew Shino, President, Berry Shino Securities, Inc. CASE INFORMATION Statement of Claim filed on or about: May

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02795 David Lewis David Lewis IRA Kathy Dobies IRA Kathy Dobies Roth IRA Kathy Dobies Leslie Sikora Leslie Sikora IRA Leslie Sikora as custodian of Danielle Sikora, a minor Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Terry L. McCoy Vincent Minutolo REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean Beghosian, M.D., Fred Mohtadi, M.D., BJ. Patel, M.D., Jasvant N. Modi, M.D., Mohammad J. Virani, CPA, Kaushik R. Desai, M.D., Farzin Mohtadi, Nina Patel, M.D., and Asha K. Desai, M.D., Claimants v. Prudential Equity Group, Inc. f.k.a. Prudential Securities, Inc., Deepen A. Modi, Kendall D. Higginbotham, and Modi & Higginbotham, Respondents Case Number: 02-02794 Hearing Site: Lo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Shandell and Carol A. Thea, TTEES, DTD 9/4/95 U/W/O & Testament of Edward Shandell FBO Marian K. Shandell v. Salomon Smith Barney Inc. and Michael Bulhack Case Number: 02-02788 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Richard E. Shandell ("Shandell") and Carol A. Thea

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MARKKOT Case Number 02-02787 V. UBS FINANCIAL SERVICES INC., JASON SMS, Hearing Site: New York, NY RUSS S. GINSBERG, LEONARD SIMON, CHUCK RATEAU, ALISON CIOFFI-BROWN, AND FRANK NOVELLO Nature of the Dispute: Customer vs. Member and Associated Persons ttF.PRFSENTATTOTVOF PARTIES Claimant Mark Kot ("Kot"), hereinafter referred to as "Claimant", was represented b