Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kay Worthen IRA and Audrey Worthen IRA, Claimants vs. Albert E. Cahlan II and Norwest Investment Service?, Inc., Respondents Case Number: 02-Q2510 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: David Liebrader, Esq. The Law Offices of David Liebrader, APC Las Vegas, Nevada For Respondents: Michael J. Coffino, Esq. Steefel Levitt & Wei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Roland and Patricia Varin and 02-02508 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. E. Thompson Thayer Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Roland and Patricia Varin ("Claimants") were represented by George R. Brown, Esq., Tucson, Arizo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra Kinsler, Claimant v. Morgan Stanley DW Inc. and Brandon Smith, Respondents Case Number: 02-02505 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeffrey M. Hall, Esq. Atkinson, Andelson, Loya, Ruud & Ramo Cerritos, California For Respondents: Kevin K. Fitzgerald, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Islamic Center of San Diego, Claimant v. Salomon Smith Barney Inc. and Zachary Kasri, Respondent Case Number: 02-02504 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Neda Ataie, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondent: Paul J. Schumacher, Esq. Bingham McCutchen LLP Los Angeles, California CA

Award NASD In the Matter of the Arbitration Between: Lorraine J. Ameck, Claimant v. Morgan Stanley Dean Witter Inc. and Scott Svirsky, Respondents Case Number: 02-02501 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Lorraine J. Ameck, hereinafter referred to as "Claimant": Michael J. Cohen, Esq., Law Offices Of Phillip J. Goldstein, P.A., Boca Raton, FL. For Morgan Stanley Dean Witter Inc. ("MSDW") and Scott Svirsky ("Svirsky"), her

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Douglas G. Zimmer, (Claimant) vs. Alexander, Wescott & Co., Inc., (Respondent) Case Number: 00-02622 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Douglas G. Zimmer, hereinafter referred to as "Claimant", appeared pro se. Respondent, Alexander, Wescott & Co., Inc., hereinafter referred to as "Respondent": Michael S. Segal, President, Alexander, Wescott &

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant April L. Jeffries and Case Number: 02-02500 Hearing Site: Troy, Michigan Names of Respondents Prudential Equity Group, Inc. Prudential Insurance Company of America Donald M. Simpson and Calvin G. Zara NATURE OF DISPUTE Customer v. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES April L. Jeffries ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tr»P Pfajynants Pagp 'NJnrnW- 02-02499 John Knight Chris Grizzaffi Danny O'Connell Lydia Sullivan Andrew F. Aubrey *- Dallas, Texas Mutuals.com, Inc. PF.PPF.S1T.NT ATTHNf OF Claimants John Knight ("Knight"), Chris Grizzaffi ("Grizzaffi"), Danny O'Connell ("O'Connell"), Lydia Sullivan ("Sullivan") and Andrew F. Aubrey ("Aubrey"), hereinafter collectively referr

Stipulated Award NASD Dispute Resolution In the Matters of the Arbitration Between: Roger S. Vail and Sharon K. Vail, First Weston Ltd., Roger S. Vail, IRA, Sharon K. Vail IRA, Londa M. Klotz & Sharon K. Vail, Robert F. Bell Revocable Trust, Claimants v. First Union Securities, Inc. n/k/a Wachovia Securities, LLC, Robert B. McCall, Jr., Bruce E. Wiegand, Raymond P. Valencia, Raymond M. Phillips, and Vest Trend Services, Inc., Respondents First Union Securit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Mamp of the Claimant r.flgp.Nnmher 02-02497 Raymond James & Associates, Inc., Name of the Respnnftent Hearing Site: Houston, Texas Joseph Biegler, OF Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimant," was represented by Rick A. Buchwalter, Esq. of Raymond James & Associates, Inc. Respondent Joseph Biegler, hereinafter referred to as "Responden