Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alen Ajed, Claimant v. v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., Counter-Claimant v. Alen Ajed, Counter- Respondent Case Number: 00-02536 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: Nathan W.S. Choi, Esq. The Law Office of Nathan W.S. Choi Honolulu, Hawaii For Respondent: J

Amended Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01504 Leonard B. Pearson Names of the Respondents Hearing Site: Atlanta, Georgia Edward D. Jones, Inc. Neal K. Chahwala REPRESENTATION OF PARTIES For Leonard B. Pearson, hereinafter referred to as "Claimant": Pat Huddleston, II, Esq., Huddleston & Nohr, Marietta, Georgia. For Edward D. Jones, Inc. ("Jones") and Neal Chahwala ("Chahwala"), herein

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01504 Leonard B. Pearson Names of the Respondents Hearing Site: Atlanta, Georgia Edward D. Jones, Inc. Neal K. Chahwala REPRESENTATION OF PARTIES For Leonard B. Pearson, hereinafter referred to as "Claimant": Pat Huddleston, U, Esq., Huddleston & Nohr, Marietta, Georgia. For Edward D. Jones, Inc. ("Jones") and Neal Chahwala ("Chahwala"), hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01501 John Morris, individually and on behalf of Morris Building Constructors, Incorporated Names of the Respondents Hearing Site: Atlanta, Georgia UBS PaineWebber, Inc. Gordon Stamper REPRESENTATION OF PARTIES For John Morris, individually and on behalf of Morris Building Constructors, Incorporated, hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. f/k/a UBS Paine Webber Inc. i7k/a Paine Webber Incorporated, Claimant v. Christopher T. Pyne, Respondent Case Number: 02-01494 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Devin A. Donohue, Esq. Palmer, Lombardi & Donohue LLP Los Angeles, California For Respond

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Barton and Names of Respondents Morgan Stanley DW, Inc. and Paul J.Zarkowski Case Number: 02-01488 Hearing Site: Troy, Michigan REPRESENTATION OF PARTIES John Barton ("Claimant") was represented by Michael S. Clawson, Esq., Hardy, Lewis & Page, P.C. Birmingham, Michigan. Morgan Stanley DW, Inc. ("MSDW") and Paul J. Zarkowski ("Zarkowski")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lowell Diener and Names of Respondents Prudential Securities Corp. and Jeffrey D. Lynn _____ Case Number: 02-01486 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Lowell Diener ("Claimant") was represented by Joel H. Kaufman, Esq., Farmington Hills, Michigan. Prudential Securities Corp. ("Prudential") and Jeffrey D. Lynn ("Lynn")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeannie Bacich, Claimant v. Wells Fargo Securities, Inc. n/k/a Wells Fargo Investments LLC and James P. Helsel, Respondents Case Number: 02-01485 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeffrey L. Gaflhey, Esq. Law Offices of Jeffrey L. Gaffhey San Diego, California For R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michelle T. Fisher, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Stephen J. Hollomon, Respondents Case Number: 02-01478 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. The Law Offices of Jeff Dennis Ferentz Newport Beach, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Quest Capital Strategies, Inc., Claimant v. Timothy H. Cha and Diane Y. Cha, Respondents Case Number: 02-01477 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: David Bolton, Esq. Law Offices of David Bolton P.C. Garden City, New Jersey For Respondents: Timothy H. Cha In Propria Persona and as Party