Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley D.W., Inc., trading as Morgan Stanley, Claimant v. Casey D. Curtis, Brian L. Gass, and First Union Securities, Inc., Respondents Case Number: 02-00547 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Dennis A. Ostgard, Esq. Schwabe, Williamson & Wyatt Seattle, Washington For Respondents: Lawrence R. Cock, Esq. Cable, Langenba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jane E. Van Tamelen, Claimant v. Morgan Stanley DW Inc., David W. Axelson, and Steven L. Fusco, Respondents Case Number: 02-00543 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jared R.B. Hutton, Esq. Law Offices of Jared R.B. Hutton Santa Monica, California For Respondents: Mauricio S. Beugelmans, Esq. Morgan Stanley DW Inc. San Franci

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Sallie LaHue and The Frank LaHue Family Trust v. 02-00538 Denver, Colorado Respondents Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc. KSH Investment Group, Inc., and Scott E. Sucoff REPRESENTATION OF PARTIES Sallie LaHue and The Frank LaHue Family Trust ("Claimants") were represented by Alan C. Friedberg, Esq., Pendleton Friedberg Wilson &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00536 Access Financial Group, Inc. Name of the Respondent Hearing Site: Chicago, Illinois Robert G. Sievewright REPRESENTATION OF PARTIES Elizabeth T. Steinhaus, Esq., with Access Financial Group Inc.'s legal department located in Chicago, Illinois, represented Claimant Access Financial Group, Inc. ("Access Financial"). William D. Ant

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Plaimantg r a gft >[ 1im ViP!r- 02-00535 MOW Investments; Michael G. Wilkins & Fern Wilkins; Zolon Wilkins, IE; Wilkins Investments; Raw Investments; Ricky A. and Janet C. Wilkins; Barry Krieger; Barry Krieger Cust. for Steven Couche; Haythem Dawlett & Melissa Dawlett; Melissa Cervantes; J.D. Dunn and Ida Dunn; Zolon Wilkins, Jr.; Caroline Zoe

1/19/2003 15 £7 FAX Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jjan?f-rif QM* rjAimfflfc P^yJsl^mh^i" Q2-00535 MOW Investments; Michael G. Wilkins & Fern Wilkins; Zolon Wilkins, fll; Wilkins Investments; Raw Investments, Ricky A. and Janet C. Wilkins; Barry Krieger; Barry Kricger Cufif. for Steven Couche; Ha.ythem Dawlctt & Mehgsa Dawlett, Melissa Cervantes; J.D. Duim and Ida Dunn; Zolon Wilki

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Leonard H. Rubin Case No. 00-02448 Names of Respondents Salomon Smith Barney, Inc. Barry J. Klein Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant appeared pro se. For Salomon Smith Barney, Inc. ("Smith Barney") and Barry J. Klein ("Klein"), hereinafter also referred to as "Respondents": Alejandro Schwed, Esq., Salomon Sm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * NlTTD hffT " 02-00533 Michael R. Klink; Debra K. KJink Michael R. Klink Trust; and Debra K. Klink Trust ff nf th? RfSp nnr ^ nt Hearing Site' Indianapolis, Indiana Prudential Securities, Inc. PFPttFSFNTATTOTV Claimants Michael R. Klink; Debra K. Klink; Michael R. Klink Trust; and Debra K. Klink Trust, hereinafter collectively referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-00532 Les O. Brown and Josie Brown Names of the Respondents Hearing Site: Oklahoma City, Oklahoma Kimberly Securities, Inc. Kimberly Jean Misaraca, a/k/a Kimberly Carrella REPRESENTATION OF PARTIES Claimants Les O. Brown and Josie Brown ("Claimants"): Clell I. Cunningham, m, Esquire, of Dunn, Swan & Cunningham, Oklahoma City, Oklahoma.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morad and Atina Kennedy, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 02-00527 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Morad Hennedy ("M. Kennedy") and Atina Kennedy ("A. Kennedy"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc.,