Award NASD Dispute Resolution In the Matter of the Arbitration Between: Delores Forzley, Claimant v. Direct Brokerage, Inc. and Jack Erlanger, Respondents Case Number: 02-01097 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn Los Angeles, California For Respondents: Allan E. Ceran, Esq. Rodi, Pollock, Pettker, Galbraith&Cahill Los Angeles, Californi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dikan Norian and Narkis Takhtadjian, Claimant v. Prudential Securities Incorporated n/k/a Prudential Equities Group, Inc., Prudential Financial Incorporated and Mona Andrikian, Respondents Case Number: 02-01095 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Frank Revere, Esq. Rev

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Williams as trustee and in his individual capacity Helen W. Kostevicki as trustee and in her individual capacity Names of the Respondents Halliburton & Associates, Inc. David Halliburton Cowles Horton Townes Case Number: 02-01087 ' Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01085 W. John Slowinski W. John Slowinski IRA Sindy K. Slowinski Sindy K. Slowinski IRA Dolphin Capital Investments, L.P. Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Brady Edward Pedler Gregory S. Courter Nature of the Dispute: Customer vs. Member and A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jonathan Larkin Names of the Respondents Credit Suisse First Boston Corporation and Robert Banker Case Number: 02-01083 Hearing Site: Boca Raton, Rorida REPRESENTATION OF PARTIES For Jonathan Larkin, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Law Office of Richard A. Stephens, Boca Raton, Florida. For Credit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brien G. Reidy and Montauk-Sandyhook Consulting, (Claimants) vs. Tucker Anthony, Inc. and Roger B. Coe, Jr., (Respondents) Case Number: 00-02467 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Brien G. Reidy ("Reidy") and Montauk-Sandyhook Consulting ("Montauk"), hereinafter collectively referred to as "Claimants": Randy Scott Zelin, Esq., a sole practitioner,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASR02-01081 H&R Block Financial Advisors, Inc., claimant vs. James E. Sturken, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, ME. Respondent did not respond to the Statement of Claim. DATE FILED: February 25, 2002 CASE SUMMARY: Claimant alleged that respondent sold 2500 shares of Cell Pathways for a credit to his account due to his failure to meet m

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01080 Donna C. Stevens, claimant vs. Prudential Securities, Inc., Fredric Bayles and Karl Preheim, respondents. ATTORNEYS: Claimant appeared pro se, Kingsburg, CA. For Respondents appeared in-house counsel, Charles B. LaChaussee, Esq., San Francisco, CA. DATE FILED: February 15, 2002 CASE SUMMARY: Claimant alleged that respondents used preexisting cash from her account to purchase st

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James B. Koemer and 02-01065 Chicago, Illinois Name of Respondents Salomon Smith Barney, Inc., and Michael Rhodes Nature of dispute: Customer v. Member and Associated person. REPRESENTATION OF PARTIES James B. Koerner ("Claimant") or ("Koerner") was represented by James Eccleston and Ronald M. Amato, Esq., of the law offices of Shaheen, Noveselsky

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victor H. Colucci and Marlena M. Colucci, Claimants vs. Morgan Stanley DW Inc. and Michael G. Burns, Respondents Case Number: 02-01051 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondents