Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01539 Julia B. Boland, Trustee of Revocable Living Trust under Agreement dated 10/28/93 Names of the Respondents Hearing Site: Tampa, Florida Prudential Securities Incorporated Rodney Jack Bradley REPRESENTATION OF PARTIES For Julia B. Boland, Trustee of Revocable Living Trust under Agreement dated 10/28/93 hereinafter referred to as "Claimant 5 : J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01538 Elizabeth Fisher, individually and as trustee of the Liz Fisher Interior Design, Inc. Profit Sharing Plan Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Ruth Sember REPRESENTATION OF PARTIES For Elizabeth Fisher, individually and as trustee of the Liz Fisher Interior Design, Inc. Profit Sharing Pla

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01537 Robert W. Bonte Name of the Respondent Hearing Site: Boca Raton, Florida FNB Brokerage, Inc. REPRESENTATION OF PARTIES Robert W. Bonte, hereinafter referred to as "Claimant", appeared pro se. For FNB Brokerage, Inc., hereinafter referred to as "Respondent": George F. Bovie, IE, Esq., Crary, Buchanan, Bowdish, Bovie, Beres, Negron & Thomas, Stuart, Flo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants •- * Case Number 02-01535 Donald J. Avellino, Sr. Cynthia A. Avellino Name nf the Respondents Hearing Site: Philadelphia, PA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Robert F. Manning Nature of the Dispute: Customers v. Member and Associated Person. RFPRFSFNTATION OF PARTIES Claimants, Donald J. Avellino, Sr. an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01529 Charles Robison, Nancy Robison,, and Jerrold Hinderliter Name of the Respondents Hearing Site: Kansas City, Missouri Edward D. Jones & Co. and Mark A. Sandy REPRESENTATION OF PARTIES Claimants Charles Robison ("C. Robison"), Nancy Robison ("N. Robison"), and Jerrold Hinderliter ("Hinderliter*') hereinafter collectively referr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number 02-01526 Curtis L. Greenberg, IRA, Curtis L. Greenberg Trust, Rochelle W. Greenberg, as an individual, and Rochelle W. Greenberg, IRA Names nf the Respondents Hearing Site* Pittsburgh; PA MONY Securities Corporation and James J. Scarpone Nature of the Dispute: Customer v. Member and Associated Person RFPRFSFNTATTON OF PAR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01524 Timothy L. McMillian, Claimant/Counterclaim Respondent vs. Roan-Meyers Associates, Respondent/Counterclaim Claimants. ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Liberty, MO. For Respondent/Counterclaim Claimant appeared Douglas C. Evans, Compliance Officer, New York, NY. DATE FILED: March 15, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that res

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: McDonald Investments Inc. Case Number- 02-01523 Claimant and J. Kent Gourley Hearmtr Site; Louisville, Kentucky Respondent RFJPttESHNTATION OF PARTTFS Claimant McDonald Investments Inc. ("McDonald") was represented by Matthew J. Morelli, Ulmer & Berne LLP, 1300 East Ninth Street, Suite 900, Cleveland, Ohio 44114. Respondent J. Kent Gourley ("Gourley")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carl Fuller and Martha Fuller, (Claimants) vs. Securities America, Inc. and Colleen Fitzpatrick Knapp individually and dVb/a Invest-In Services, (Respondents) Case Number: 02-01516 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Carl Fuller ("C. Fuller") and Martha Fuller ("M. Fuller"), hereinafter collectively referred to as "Claimants": Robert D. Hooks, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: June Finkle, Trustee for The June Finkle Living Trust dtd 3/27/98, Claimants v. Morgan Stanley Dean Witter and Brian Krueger, Respondents Case Number: 02-01508 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California Keith Guilfoyle, Esq. Morgan Stanley D