Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra Seton TTEE of the Sandra Seton-Living Trust, Claimant v. Joseph H. Harrison III and Washington Mutual Financial Services, Inc., Respondents Case Number: 02-00834 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Lawrence R. Mills, Esq. Mills Meyers Swartling Seattle, Wa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Gabay and Lori Gabay, (Claimants) vs. Kirlin Securities, Inc., Thomas J. Casolaro, and Scott Philip Harris, (Respondents) Case Number: 02-00829 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Andrew Gabay ("A. Gabay") and Lori Gabay ("L. Gabay"), hereinafter collectively referred to as "Claimants": Jerome Olitt, Senior Vice President and House Counsel, A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marie Weiner, Trustee of the Marie Weiner Revocable Living Trust dated 9/11/80 and Case Number: 02-00822 Hearing Site: Troy, Michigan Names of Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Anthony D. Agbay - REPRESENTATION OF PARTIES Marie Weiner, Trustee of the Marie Weiner, Revocable Living Trust dated 9/11/80 ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 02-00821 RBC Dain Rauscher Inc. Namp nf thp Regpnr^ppf Hparjpg Sit' 3 '' Dallas, Texas Reginald D. Ford Claimant RBC Dain Rauscher Inc. ("Dain Rauscher") was represented by Sandra Smalley, Esq., of the firm of Lindquist & Vennum P.L.L.P., located in Minneapolis, Minnesota. Respondent Reginald D. Ford ("Ford") did not appear. Statement of Claim filed: Feb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Leight, Claimant v. Prudential Securities, Inc., Jason Parseghian, Salomon Smith Barney, Inc. and Glenn Strauss, Respondents Prudential Securities, Inc., and Jason Parseghian, Cross-Claimants v. Salomon Smith Barney, Inc. and Glenn Strauss, Cross-Respondents Case Number: 02-00819 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Members and Associated Perso

Amended Award NASD Dispute Resolution In me Matter ofthe Arbitration Between: Philip A. Bateman IRA, Claimant v. UBS PaineWebber, Inc. and Angeli A. Forster, Respondents Case Number: 02-00816 Hearing Site: San Diego, California REPRESENTATION OF PARTIES !' For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Robert H. Logan, Esq. ! Danielle J. Tarasea, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip A. Bateman IRA. Claimant v. UBS PaineWebber. Inc. and Angeli A. Forster. Respondents Case Number: 02-00816 Hearing Site: San Dieso. California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors .Arbitration Specialists. Inc. San Diego, California For Respondents: Robert H. Logan, Esq. Danielle J. Tarasen. Esq. Keesal, Young & Logan Long Beach,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Pa.se Mumhpt" 02-00815 Roger Kreider e* nf the pp«^ponHents Rearing Site* Philadelphia, Pennsylvania Merrill Lynch, Pierce, Fenner & Strath, Inc. Robert Aronberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Roger Kreider, "Claimant", was represented by Stephen H. Berkowitz, Esq., Moore &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00814 - Berry-Shino Securities, Inc., claimant vs. Andres Rosa, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, of StreetWide Asset Recovery Group, Inc., New York, NY. Respondent appeared pro se, New York, NY. DATE FILED: February 11, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on an outstanding draw pursuant to the terms of a Lett

Paul A. Marrella vs. • Harry Radcliffe and Royal Alliance Associates, Inc. NASD Dispute Resolution Number 02-00812 FINDINGS AND AWARD OF ARBITRATOR Claimant Paul A. Marrella ("Marrella") brings this complaint against respondents Harry Radcliffe ("Radcliffe") and Royal Alliance Associates, Inc. ("RA"), seeking to recover damages in the amount of $10,000 for the alleged breach of an oral contract or implied contract arising out of a relationship b