Award NASD Dispute Resolution In the Matter of the Arbitration Between: James A. Roberts, Individually, and as Trustee for James Roberts Profit Sharing Plan dated 1/24/00, as Trustee for James Roberts Money Purchase Plan dated 1/24/00, and for the James A. Roberts IRA Rollover/SEP dated 1/24/00, Claimants v. Morgan Stanley Dean Witter & Co. and Gayle J. Gaston, Respondents Case Number: 02-01351 Hearing Site: San Diego, California Nature of the Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Kera Gumbiner Trust dated October 8, 1998, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Anouchka M. Balog, Respondents Case Number: 02-01350 ' Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William L. Buus, Esq. Oswald & Yap Irvine, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf thp Claimants Pas^ Number: 02-01349 William Jacono James F. Jacono , Trustee of William F. Jacono IRR-Trust Sally Firgione, Trustee of William F. Jacono IRR-Trust Name nf the Respondents Hearing Site: Philadelphia, PA Richard P. Sabo Money Concepts Capital Corp. Nature of the Dispute: Customer vs. Member and Associated Person RFPttFSFNTATTON OF PARTTF.Si Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02519 Roland B. Wright, claimant vs. Scottsdale Securities, Inc., respondent, ATTORNEYS: " ~~~ For Claimant appeared Conrad B. Houser, Esq., Salt Lake City, UT. For Respondent appeared Mark Finnegan, Compliance Manager, St. Louis, MO. DATE FILED: June 13, 2000 CASE SUMMARY: Claimant alleged that respondents misrepresented price information when selling the claimant Lucent puts ther

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate of James R. Moon, Claimant v. Fairchild Financial Group, Colby Daniel Furlong, George Edward Hubbard, Jr., Edward J. McCune, Tzerwan Wendy Chen, Wallace Glen Conley, Lorette Dawn Farris and Fiserv Correspondent Services, Inc., Respondents. Case Number: 00-00281. Hearing Site: Cleveland, Ohio. REPRESENTATION OF PARTIES Brian P. Biggins, Esquire, of Brian P. Biggins &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. Pass "Miimher 02-01343 JoAnn F. Waldron Name nf the Respondents Hearing Site: Charlotte, NC Raymond James & Associates, Inc. Raymond James Financial Services, Inc. Terry Mark Part Nature of the Dispute: Customer v. Members and Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, JoAnn F. Waldron, hereinafter referred to as "Claimant", was represen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Arnold and Helga Wronski and 02-01342 Phoenix, Arizona Name of Respondents Financial Positioning d/b/a The Masters Shirley A. Binder Nature of the Dispute: Customer vs. Non-Members. REPRESENTATION OF PARTIES Arnold and Helga Wronski ("Claimants") were originally represented by Peter Strojnik, Esq., The Law Firm of Peter Strojnik, Phoenix, Arizona.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS/Paine Webber Inc., (Claimant) vs. Dennis K. Jones, (Respondent) Case Number: 02-01339 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant, UBS/Paine Webber, Inc., hereinafter referred to as "Claimant": Mark A. Rosen, Esq., Davidson, Manchel & Brennan, LLP, Newton, MA. Respondent, Dennis K. Jones, hereinafter referred to as "Respondent", did not enter an appeara

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Hermon and Deborah Vaughan (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Sperlinga (Respondents) Case Number: 02-01338 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David Hermon ("Hermon") and Deborah Vaughan ("Vaughan") hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna Logiodice (Claimant) vs. Morgan Stanley Dean Witter, Inc., i7k/a Dean Witter Reynolds Inc. and Karen L. Bryant (Respondents) Case Number: 02-01337 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anna Logiodice hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Philadelphia, PA. Respondents, Morgan Stanley Dean Witter, Inc. f/k/a Dean Wit