Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02^01472 Raymond M. Meserve & Helen Meserve JT TEN Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. Tinker Bowen Bruce Fishalow Cindy Rodriguez REPRESENTATION OF PARTIES For Raymond M. Reserve & Helen Meserve JT TEN, referred to as "Claimant": Helen Meserve, Ocala, Florida. For Morgan Stanley DW, Inc. (

i Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: U.S. Bancorp Piper Jaffray, Inc,, (Claimant) v. Robert W. Baird & Co., Inc., (Respondent) Case Number: 00-02533 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant U.S. Bancorp Piper Jaffray, Inc. ( tl U.S. Bancorp Piper Jaffray")'- Frank A. Taylor, Esq., Greg Stenmoe, and Tamika Nordstrom: Briggs & Morgan, Minneapolis, Minnesota. Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01471 Dennis A. Wallace, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Albuquerque, NM. For Respondent appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. DATE FILED: March 13, 2002 CASE SUMMARY: Claimant alleged that respondent wrongly calculated margin availability, trades were wrongfully cancelled and corrected, confused his option order

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01470 Pearl Ezratty, claimant vs. 1st Global Advisors, Inc., and National Financial Services, LLC, respondents. ATTORNEYS: For Claimant appeared Joseph Ezratty, Floral Park, NY. For Respondent 1st Global Advisors, Inc., appeared Jonathan C. Uretsky, Esq., of the firm Winget, Spadafora & Schwartzberg, LLP, New York, NY. For Respondent National Financial Services LLC appeared in-house coun

NAsu uispute Kesolution Arbitration No. 02-01469 Award Page 1 of 4 Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Irving (Claimant) vs. Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 02-01469 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant David Irving ("Claimant") appeared/?n? se. Respondent Morgan Stanley Dean Witter, Inc. ("Respondent"): Edmund J. Shea, Esq., of Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean M. Arciero (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Andrew Bevivino (Respondents) Case Number: 02-01468 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean M. Arciero hereinafter referred to as "Claimant": Stuart E. Finer, Esq., Utica, NY. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 02-01460 Raymond James Financial Services, Inc. Name of the Respondents Rearing .Site- Charlotte, North Carolina Reno Calabrigo, Stefano Zorzi, Guiliano Colombari, and Giovanna Colombo RFPftFSFNTATTON OF PAKTTF.S Claimant Raymond James Financial Services, Inc., hereinafter referred to as "Claimant", was represented by Rebecca C. Davis, Esq. a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01456 Derek Chinni Name of the Respondent Hearing Site: Boca Raton, Florida Deutsche Bank Securities, Inc. REPRESENTATION OF PARTIES For Derek Chinni, hereinafter referred to as "Claimant": Mark F. Raymond, Esq., Tew Cardenas Rebak Kellogg Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, Florida and Guy Giberson, Esq., Mandel & McAli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01454 J. Alexander Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Sam B. Friedman Name of the Third Party Respondent Keith Brodsky REPRESENTATION OF PARTIES For J. Alexander Securities, Inc., hereinafter referred to as "Claimant": Richard N. Friedman, Esq., Miami, Florida and Richard L, Wassenberg, Esq., Pon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael T. Damian, (Claimant) vs. Quick & Reilly, Inc., (Respondents) Case Number: 02-01446 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Michael T. Damian, hereinafter referred to as "Claimant": W. Sean Kelleher, Esq., a sole practitioner, Worthington, OH. Respondent, Quick & Reilly, Inc., hereinafter referred to as "Respondent": John T. McGuire, Esq., John T