Award - NASD Dispute Resolution In the Matter of the Arbitration Between: Name nfthpt Claimant Case Number: 02-01707 Harry F. Sirnms, Jr. Name of the Respondents Hearing Site: Richmond, Virginia Securities Research, Inc., Nathaniel L. Armistead, III, John D. Albert, and U.S. Clearing Corp. n/k/a Fleet Securities, Inc. KFPRF.SFNTATTON OF PARTTF.S Claimant Harry F. Simms, Jr., hereinafter referred to as "Claimant", was represented by Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mike Malow, Annette B. Malow, and The Mike Malow and Annette B. Malow Trust, Claimants v. Morgan Stanley Dean Witter and James R. Lauffer, Respondents Case Number: 00-02642 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Michael J. Abbott, Esq. J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01706 Joseph Peter Pavone, claimant vs. Ted Buck and Morgan Stanley Dean Witter, respondents. ATTORNEYS: For Claimant appeared Gary A. Brienza, Esq., of the firm Dimmich, Guldin, Dinkelacker & Brienza, Orefield, PA. For Respondents appeared in-house counsel, Thomas F, Croke, Esq., New York, NY. DATE FILED: March 22, 2002 CASE SUMMARY: Claimant alleged that respondents failed to correct s

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Duncan-Williams, Inc. Names of Respondents Coastal Securities, L.P. Michael McGinnis Brandon Westbrook John S. Jumper James Kilgore, IV Hayden C. Argo, Jr. C. Sessions Brown Case Number: 02-01704 Hearing Site: Memphis, TN REPRESENTATION OF PARTIES For Duncan-Williams, Inc., hereinafter referred to as "Claimant": Shepherd D. Tate, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ANWAR IKBAL and MARY ANN IKBAL, Case Number: Claimants, vs. CANTELLA & CO., INC. and TASEER A. BADAR, Respondents. Hearing Site: 02-01695 Houston, Texas RT7PRff.SFNTATTOT\ Claimants, Anwar Ikbal and Mary Ann Ikbal, hereinafter referred to as "Claimants," were represented by Dennis Taylor of Shepherd, ISnith & Bebel, P.C., 13H Texas Avenue, Twentiet

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc. (Claimant) vs. Teddy Ishak, (Respondent) Case Number: 02-01693 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cantone Research, Inc., hereinafter referred to as "Claimant": Christine L. Cantone, Vice President, Cantone Research, Inc., Tinton Falls, NJ. Previously represented by: Frank Napolitano, Senior Vice President, Cantone Research, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01689 UBS PaineWebber, Inc., claimant vs. Mark McKoan, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: March 21, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay the outstanding principal amount of an employee forgivable loan and a draw deficit in his account.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case No.: 02-01685 Rita J. Barron-Morrissey TTEE, U/A/D 8/7/98 Rita J. Barron-Morrissey Living Trust Names of the Respondents Hearinjg Site: Boca Raton, Florida Advest, Inc., Alice Silverblatt and Sugar Silverblatt Murphy REPRESENTATION OF PARTIES For Rita J. Barron-Morrissey TTEE, U/A/D 8/7/98 Rita J. Barron-Morrissey Living Trust, herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter and Patricia Maher Names of the Respondents Prudential Securities Incorporated, Peter Heidt, Robert F. Limmer, Steven M. Samuels and Wexford Clearing Services Corporation Case Number: 02-01684 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Peter and Patricia Maher, hereinafter collectively referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name*; nf the Claimants James Finkel and Sheila Finkel JNT James Finkel Dr. Finkel IRA Mrs, Finkel IRA Finkel Pension Plan Finkel Profit Sharing Plan nfthe KftspnnHftntg Case Number- 02-01683 Edward Jones & Co. W. Zane Jackson Hearing-Site: Charlotte, North Carolina RF.PRFSFNTATION OF PARTIES Claimants, James Finkel and Sheila Finkel JNT, James Finkel