Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Guerriero (Claimant) v. Montauk Financial Group d/b/a First Montauk Securities Corp. (Respondent) Case Number: 02-02047 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas Guerriero ("Guerriero") hereinafter referred to as "Claimant": Leon Baer Borstein, Esq., Borstein & Sheinbaum, New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas E. Fiffick, Claimant v. First Union Securities, Inc., Edward Pero, and John Trecaso, Respondents Case Number: 02-02046 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Thomas E. Fiffick ("Fiffick") hereinafter referred to as "Claimant": Christopher T. Nolan, Esq., Perantinides & N

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: George Roth and Lea Roth, (Claimants) vs. First Madison Securities, Inc., David V. Polushkin, Howard Feinmel, Alfred M. Schiffrin, Jonathan F. Bull, and Ray Vahab, (Respondents) vs. Feraidoon Kashani (Third-Party Respondent) Case Number: 00-02569 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, George Roth ("G. Roth") and Lea Roth ("L. Roth"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02042 Carol A. Jones Names of the Respondents Hearing Site: New Orleans, Louisiana Peter Veugeler Summit Brokerage Services, Inc. REPRESENTATION OF PARTIES For Carol A. Jones, referred to as "Claimant": Jacques F. Bezou, Esq., Bezou & Matthews, Covington, Louisiana. For Peter Veugeler ("Veugeler") and Summit Brokerage Services, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants William W. Wein Kerry M. Wein William S. Wein Kimberly A. Wein Name of the Respondents Prudential Securities, Inc. Gloria Riggio, a.k.a Gloria Leibig Case Number: 02-02040 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATTQN OF PARTIES Claimants, William W. Wein,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-02039 Carl and Teresa lacona Names of the Respondents: Hearing Site: New York, New York Stephen F. Molinari Larry L. Nelson The Protective Group Securities Corporation Steven A. Grau REPRESENTATION OF PARTIES Claimants, Carl and Teresa lacona, hereinafter referred to as "Claimants": Louis H. Miron, Esq., Westfield, NJ. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph D. Ishay and Joseph Ishay & Suzette J. Ishay JT/WROS (Claimants) v. Raymond James & Associates, Inc., Laird Ferguson and Eugene Lieberman (Respondents) Case Number: 02-02033 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Joseph D. Ishay ("J. Ishay") and Joseph Ishay & Suzette J

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Mark P. Wood and Loretta A. Wood and 02-02023 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Kirk J.Gill JohnS. Simonson Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Mark P. Wood and Loretta A. Wood ("Claimants") were represented by David C. Anson, Esq. of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Brian Weston Case Number: 02-02017 Names of the RespnnHents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter J. Russo, Jr. Hearing Site: Washington, D.C. RFPRFSFNTATTON OF PARTTFS Claimant, Brian Weston, hereinafter referred to as "Claimant", was represented by John P. Connelly, Esq. and Ford C. Ladd, Esq., Attorneys at Law, Alexandria, Virginia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - nf thf* flfliniflnt/q) PagpNiimher- 02-02015 The Estate of Ruby L. Scruggs ng Sfo' Philadelphia, PA Prudential Insurance Company of America Pruco Securities Corporation Prudential Financial nir PAPTTF.S Claimant), The Estate of Ruby L. Scruggs, hereinafter referred to as "Claimant was represented, by Glenn Gitomer, Esq. of McCausland, Keen & Buckman, Radnor, PA.. R