STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dr. David Hirsch, individually, and as General Partner of Hirsch Investments Limited Partnerships, David Hirsch, D.O., P.A. and Names of Respondents Prudential Equity Group, LLC, f/k/a Prudential Securities Incorporated, Alberto Santos, Steve J. Marino, and Phillip R. Valadez Case Number: 02-02760 Hearing Site: Houston, Te

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02758 Franklyn D. Raedel and Mary H. Raedel, claimants vs. PaineWebber, Inc. and Bruce N, Rupp, respondents. ATTORNEYS: For Claimants appeared Bruce Pearson, Fargo, ND. For Respondents appeared in-house counsel, Kenneth G. Crowley, Esq., New York, NY. DATE FILED: May 13, 2002 CASE SUMMARY: Claimants alleged that respondents erroneously purchased a 20 year C.D. contrary to their reque

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02754 Sandy S. Park, claimant vs. TD Waterhouse, respondent. ATTORNEYS: Claimant appeared pro se, San Jose, CA. For Respondent appeared in-house counsel, Janis Campanella, Esq., Fort Lauderdale, FL. DATE FILED: May 10, 2002 CASE SUMMARY: Claimant alleged that respondent sold the wrong stock to cover a debit balance in claimant's account. Claimant maintained that due to respondent's actio

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02753 Jean L. Boulanger, claimant vs. RJ. Thompson Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Burke, VA. For Respondent appeared in-house counsel, Janis Campanella, Esq., TD Waterhouse Investors Services, Inc., Boca Raton, FL. DATE FILED: May 10, 2002 CASE SUMMARY: Claimant alleged that respondent sold 991 shares of SIME DARBY BERHAD ADR without her authorizat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Stephen J. Tamsett, Jr. (Respondent) Case Number: 02-02747 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant First Union Securities, Inc. ("First Union") hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., First Union Securities, Inc., Chicago, IL. Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Cassidy Family Trust, dtd 10/07/92, Claimant v. First Union Securities Financial Network aka JW Genesis Financial, Prudential Securities, Inc., Michael B. Ralby, Daren L. Skor, and Michael E. Swan, Respondents i Case Number: 02-02743 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Ian M. Guthrie, Esq. Schley Look & Guthrie, LLP ; San

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kolonich Family Trust, Claimant v. First Union Securities, Inc. and Marc J. Minkoff, Respondents Case Number: 02-02742 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Gary R. Gleason, Esq. Farbstein & Blackman San Mateo, California Timothy N.Will, Esq.

Award COPY NASD Dispute Resolution ^^ ^^ * * In the Matter of the Arbitration Between: Shane Redmond, Claimant v. Pacific Genesis Group, Inc., U2ivever, LLC, David E. Fitzgerald, Arch V. Zellick and Daniel C. Young, Respondents Case Number: 02-02741 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Shane Redmond San Francisco, California For

t Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Colette Yetka vs. Edward D. Jones & Co. and Johnny C. Hill Case Number: 00-02685 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Colette Yetka ("Yetka") hereinafter referred to as "Claimant": Jay E. Ray, Esq., Sheinfeld, Maley & Kay, P.C. Respondent, Edward D. Jones & Co. ("Jones"): Jonathan A. Pace, Esq., Pace & Rickey, LLP. Dallas, Texas. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael P. Kapogiannatos, (Claimant) vs. Lesko Securities, Inc., (Respondent) and Lesko Securities, Inc.* (Claimant) vs. Michael P. Kapogiannatos, (Respondent) Case Number: 00-00300 (consolidated w/00-00211) Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Michael P. Kapogiannatos ("Kapogiannatos"): James P. O'Brien, Esq., Coughlin & Gerhart, LLP, Bingham