Award - NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert G. Simyon Name of The Prudential Securities, Inc., and Philip Todd Brooks Number 02-01628 Hearing Site: Raleigh, North Carolina RFPRF.SFNTATTON OF PARTTFS Claimant Robert G. Simyon, hereinafter referred to as "Claimant", was represented by Mathew E. Bates, Esq., Mathew E. Bates, P.A., Greensboro, North Carolina. Respondents Prudentia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam^ nf thp rifljmanfo C^r. Mi^ff 02-01627 James E. Rice, Jr. Trudy C. Rice of thft PfrgpnnHpntg fffpring ffifov Charlotte, NC James Fleming Robert Beiamy, IE Claimants, James E. Rice, Jr. and Trudy C. Rice, hereinafter collectively referred to as "Claimants", appeared pro se at the hearing. Respondents, James Fleming ("Fleming") and Robert Beiamy, IE ("Beiamy"), hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counterrespondent Case Number: 02-01624 Nehemia Marco Name of the Respondents/Counterclaimant Hearing Site: Chicago, Illinois Third Party Claimants HSBC Brokerage (USA) and HSBC Bank (USA) Name of the Third Party Respondents Charles Marco Charelle Corp. REPRESENTATION OF PARTIES Claimant/Counterrespondent Nehemia Marco ("Marco") was represented b

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01623 Marta J. Sundberg, Robert W. Lipke and Marta Sundberg, Guardian for Rebecca A. Lipke claimants vs. UBS PaineWebber, Inc. and Jim Olson, respondents. ATTORNEYS: Claimants appeared pro se, Anchorage, AK. For Respondents appeared in-house counsel, John E. Jenkins, Esq., Weehawken, NJ. DATE FILED: March 19, 2002 CASE SUMMARY: Claimants alleged that respondents failed to follow specific

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Guidicipietro a/k/a Robert Peters and George Christo, (Claimants) vs. Dr. Kareem E. Tannous, (Respondent) Case Number: 00-02626 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Guidicipietro a/k/a Robert Peters ("Peters") and George Christo ("Christo"), hereinafter collectively referred to as "Claimants": John T. McGuire, Esq., John T. McGuire,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02556 Alan G. Burton, claimant vs. Weiss, Peck & Greer, L.L.C., vs. U.S. Securities & Futures Corp., respondents. ATTORNEYS: Claimant appeared pro se, Vienna, Austria. For Respondent Weiss, Peck & Greer, L.L.C., appeared in-house counsel, Randy M. Klein, Esq., New York, NY. For Respondent U.S. Securities & Futures Corp., appeared Fred S. Konigsberg, Esq., Irvine, CA. DATE FILED: May

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02555 Jason Goldberg and Cantella & Co., claimants vs. Peter lodice, respondent ATTORNEYS: For Claimants appeared Michael Utilla, Brooklyn, NY. Respondent did not respond to the Statement of Claim. DATE FILED: May 1, 2002 CASE SUMMARY: Claimants alleged that respondent failed to pay for purchases of Genesis investments that he requested. Claimants maintained that because of respondent's

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02548 Sterling Financial Investment Group, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Robert Keyser John Keyser Albert Poliak REPRESENTATION OF PARTIES For Sterling Financial Investment Group, Inc. ("Sterling"), hereinafter referred to as "Claimant": Lloyd R. Schwed, Esq., Law Offices of Kubicki Draper

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02544 Carolyn J. Nite & Henry J. Nite JTWROS Carin Davis & Carolyn J. Nite JTWROS Carolyn Nite IRA Rollover Henry J. Nite Sales WC PSP/Trust Agt. Henry J. Nite & Carolyn J. Nite JTWROS Names of the Respondents Hearing Site: Boca Raton, FL Sterling Financial Investment Group, Inc. Bear Stearns Securities Corp. Brian Li

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number- 02-02542 J J. B. Milliard, W.L. Lyons, Inc. Name of the RegprmHent Hearing Site! Charlotte, NC William A. Miles REPRESENTATION OF PARTIES Claimant, J.J. B. Hilliard, W.L. Lyons, Inc. ("Milliard, Lyons"), hereinafter referred to as ''Claimant", was represented by Matthew J. Morelli, Jr., Esq., Ulmer & Berne, Cleveland, Ohio. Respondent, William A. Miles ("Miles")