Award NASD Dispute Resolution In the Matter of the Arbitration Between: PCS Executive Pension Scheme and Ian Knighton (Claimants) v. Buckman, Buckman & Reid, Inc. and David Check (Respondents) Case Number: 02-01836 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants PCS Executive Pension Scheme ("PCS") and Ian Knighton ("Knighton") hereinafter collectively referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Alexander Cowper, (Claimant) vs. PHD Capital a/k/a Perrin, Holden & Davenport Capital Corp., Christopher H. Jacobsen, Geoffrey Jacob Mann, and Nelson Marc Braff, (Respondents) Case Number: 02-01831 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Charles Alexander Cowper, hereinafter referred to as "Claimant": Anthony J. Ferrara, Esq., Polstein, Ferra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Dominic A. Alvarez, Respondent Case Number: 02-01828 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brent A. Burns, Esq. Davidson & Grannum, LLP Northvale, New Jersey Dominic A. Alvarez InProSe Las Vegas, Nevada CASE INFORMATION Statement

Amended Stipulated NASD Dispute Resolution IB the Matter ©f the Arbitration Between: Case Number 02-01826 Lawrence F. < jlaser and Maureen Glaser OB lanns Benjamin Glaser. Name of the Respondents Morgan Stanley Dean Witter EdStephan Hearing Site: Washington, D.C. Natare of ifae Dispute: Customers v. Member Firm and Associated Persons REPRESENTATION Q Claimants, Lawrence F. Glaser and Maureen Glaser i "Erin, Hasnafo and Benj am

CASE: 02-01822 Ronald Lipton, Claimant vs. Ramona MacKinnon, MacKinnon Financial Consultants and Charles Schw individually, Ramona MacKinnon d/b/a b & Co., Inc. Respondents. ATTORNEYS: For Claimant appeared William T. Krizner, Esq., a Collins & Truett, P.A. Tallahassee, Fl. Respondent, Charles Schwab & Co. Inc, appeared thr Vice President and Senior Corporate Counsel, San F id Richard B. Collins, Esq.. of the firm )ugh its in-house counsel C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fabio Valdes-Sanchez Name of the Respondent Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. Case Number: 02-01820 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Fabio Valdes-Sanchez, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW, Inc. f/k/a Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Fox (Claimant) vs. William F. Masucci, Robert J. Setteducati, and Michael J. Bergin (Respondents) CaseNumber: 00-02659 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Associated Persons, REPRESENTATION OF PARTIES Claimant James Fox hereinafter referred to as ("Claimant"): Philip M. Giordano, Esq., Giordano & Company, P.C. Boston, MA. Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Bradstreet and Vali Eberhardt, Claimants v. Salomon Smith Barney, Inc. and Lynn M. Chambers, Respondents Case Number: 02-01813 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Mathew Turtle, Esq. Perkins, Smith & Cohen, LLP Boston, Massachusetts I For Respondents: Eric D. Lansverk, Esq. Hillis Clark Martin & Peterson Seattle,

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Jean B. Jorgensen and William A. Jorgensen, Claimants v. Edward D. Jones & Co. and Karri S. Upton, Respondents Edward D. Jones & Co., Counter-Claimant v. Jean B. Jorgensen and William A, Jorgensen, Counter-Respondents Case Number: 02-01808 Hearing Site: Seattle, Washington i REPRESENTATION OF PARTIES For Claimants and Counter-Respondents Jean B, Jorgensen and Willia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Carol Battilana, John Battilana IRA, and John Battilana (Claimants) v. Morgan Stanley DW, Inc. and Al McCausland (Respondents) Case Number: 02-01803 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John and Carol Battilana ("John and Carol Battilana"), John Battilana IRA ("Bartilana IRA"), and John Battilana ("Battilana") hereinafter collectively re