NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02497 First of Michigan, Division of Fahnestock & Co., Inc., claimant vs. Ryan Pitcher, respondent. ATTORNEYS: For claimant appeared in-house counsel, Eric Schames, Esq., New York, NY. For Respondent appeared Michael F. Kelly, Esq. of the firm Kelly, Henkel, David & Missad, P.C., Grand Rapids, MI. DATE FILED: June 12, 2000 CASE SUMMARY: Claimant alleged that respondent's errors in

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between FRANK DRISCOLL, Claimant, NASD-DR Case No. 02-0081 1 -and- MORGAN STANLEY DW INC. and ROBERT SPINA, Respondents. REPRESENTATION OF PARTIES Claimant Frank Driscoll ("Claimant") was represented by attorney Andrew C. Cote, Esq. of Andrew C. Cote, P.C. of Sharon, CT. Respondents, Morgan Stanley DW Inc. ("Morgan Stanley") and Robert Spina ("Spina") herei

Award NASD In the Matter of the Arbitration Between: Name of Claimant Vema Mae Billingsley Names of Respondents Morgan Stanley DW, Inc. Brian Payne Case Number: 02-00806 Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Verna Mae Billingsley, hereinafter referred to as "Claimant": Clell I. Cunningham, in, Esq., Oklahoma City, OK. For Respondent Morgan Stanley DW, Inc. ("MSDW"): Anne Tennant Cooney, Vice President, Sen

Award NASD Dispute Resolution In-the Matter of the Arbitration Between: "MaTTiP "f ttV* f^aiTrRTrt'g rflgpNnmlw 02-00805 Larry K. Southworth & Jill R. Southworth JTWRO of jfip T?e^pQpr)^nt Rpan'na Sifp- Charlotte, NC Charles Schwab & Co., Inc. JEff.PRVCTNTATTON Claimants, Larry K. Southworth and Jill R. Southworth JTWRO, hereinafter collectively referred to as "Claimants", were represented by John F. Hanzel, Esq., Attorney at Law, Cornelius, North

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis K. Mitsunaga, Chan O.K. Mitsunaga C/F Lois Mitsunaga, and TM Designers, Inc., Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. s Ronald E. Hochuli, Christopher E. Hochuli, and Robert A. Saracco, Respondents Case Number: 02-00792 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For C

Award NASD In the Matter of the Arbitration Between: Name of Claimant AHL, Inc. Defined Benefit Pension Plan Names of Respondents Merrill Lynch Pierce Fenner & Smith Incorporated Denzel M. Smith Case Number: 02-00785 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For AHL, Inc. Defined Benefit Pension Plan ("Claimant"): Madeline G. Jorgensen, President of Claimant, Jacksonville, Florida. On or about January 21, 2003, John C. Tay

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bob L. Ridnour and Barbara J. Ridnour v. 02-00778 Denver, Colorado Respondents Linsco Private Ledger Corporation, Gregory W. Anderson, and Balanced Financial Respondent / Cross-Claimant Linsco Private Ledger Corporation v. Respondent / Cross-Respondent Gregory W. Anderson Nature of Dispute: Customers v. Member, Associated Person and No

Award N^SDJDispute Resolution In the Matter of the Arbitration Between: Donald Pittman and Imogene Pittman, Claimants Vs. Case Number: 02-00771 Stifel, Nicolaus & Co., Inc., Smith, Moore & Co., Inc., and Richard M. Politic, Respondents, And Between Smith, Moore & Co., Inc., Cross-Claimant, Vs. Richard M. Politte, Cross-Respondent. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Stuart R. Berkowitz, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A. Michael Kagan Profit Sharing Plan Case Number: 02-00764 Joan Kagan, IRA (Claimants) Stephen J. Pollack Hearing Site: New York, NY Morgan Stanley DW Inc. (Respondents) REPRESENTATION OF PARTIES Claimants, A. Michael Kagan Profit Sharing Plan, ("A.M. Kagan") and Joan Kagan, IRA ("J.Kagan"), hereinafter collectively referred to as "Claimants": Martin J. Siegel, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) vs. Harry Catton and Vera Catton, (Respondents) Case Number: 02-00762 Hearing Site: New York, New York Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq., Assistant General Counsel, First Montauk Securities Corp., Red Bank, NJ. Respondents, Harry Catton and Vera Catton, hereinafter collectively