NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00714 Prudential Securities, Inc., claimant vs. Earl Carroll, respondent. ATTORNEYS: For Claimant appeared Steven P. Gomberg, Esq., of the firm Rooks, Pitts and Poust, Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2002 CASE SUMMARY: Claimant alleged that respondent reneged on a purchase of 10,000 shares of Thorn Apple Valley, Inc. st

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sam and Dr. Prema Prasad and Bloomfield Health Services, Inc. (Claimants) v. MML Investors Services, Inc. (Respondent) and Dr. T.S. Sudarshan, Dr. Chitra Sudarshan and Materials Modification, Inc. (Claimants) v. MML Investors Services, Inc. (Respondent) Case Number: 02-00712 (consolidated w/02-02086) Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02493 Dean Witter Reynolds Inc., Claimant vs. Daniel Messina, Respondent. ATTORNEYS: For Claimant, Dean Witter Reynolds, Inc., ("Claimant"), appeared Asha Dhillon, Esq., of the firm Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P., Los Angeles, CA. Respondent, Daniel Messina ("Respondent"), did not respond to the Statement of Claim. DATE FILED: June 12, 2000 CASE SUMMARY: Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between » Name of Claimant Linda K. Eaves Case No. 00-00274 Hearing Site: Oklahoma City, OK Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimant, Linda K. Eaves ("Ms. Eaves") was represented by Jay C. Baker, Esq. located in Tulsa, Oklahoma. Respondent, Ameritrade, Inc. ("Ameritrade") was represented by Andrew J. Harger of Ameritrade, Inc. locat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00711 Linda Lou Eynard, claimant vs. Dain Rauscher Inc., and Patricia B. Ternes, respondents. ATTORNEYS: Claimant appeared pro se, Phoenix, AZ. For Respondents appeared Joanne DiStaulo, Esq., of the firm Davidson Manchel & Brennan, LLP, Northvale, NJ. DATE FILED: February 5, 2002 CASE SUMMARY: Claimant alleged that respondents negligently managed her account. Claimant further alleged

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant William R. Via Name of the Respondent UBS Financial Services, Inc. Case Number: 02-00709 Hearing Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member. RF.PRFSF.NTATTON OF PARTIES Claimant William R. Via, hereinafter referred to as "Claimant", was represented by Stephen S. Berkeley, Esq., Shaheen, Novoselsy, Staat & Filipowski, Chic

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John A. Giampetroni and Glenn Murray and Names of Respondents Morgan Stanley Dean Witter & Co. and Dean Witter Reynolds, Inc. Case Number: 02-00703 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES John A. Giampetroni ("Giampetroni") and Glenn Murray ("Murray") hereinafter collectively referred to as "Claimants" were represented by Eu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Massimi, individually and on behalf of TPM Textiles Processing Money Purchase Plan FBO Cont u/a 1/1/96 and Newburgh Textile Exchange Retirement Plan (Claimants) v. Theodore Hiotis and Joseph Gunnar & Co., LLC (Respondents) Case Number: 02-00701 Hearing Site: New York, New York y Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00699 Edwin J. Cowan and Helene B. Cowan, claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimants appeared pro se, Newport Beach, CA. For Respondent appeared in-house counsel, Richard Kelly, Esq., New York, NY. DATE FILED: February 5, 2002 CASE SUMMARY: Claimants alleged that respondent purchased stock that were unsuitable for their age and investm

CASE: 02-00689 H&R Block Financial Advisors, Inc., claimant vs. Joseph Lorello, respondent. ATTORNEYS: For Claimant appeared in-house counsel Kurt M. Miller, Esq., Detroit, ML Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay for shares of Oracle, Sun Microsystems, Worldcom and Yahoo he purchased for his account. Claimant maintained that they were forced to sel