NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00474 National Planning Corporation, claimant vs. Steven Arnold, respondent. ATTORNEYS: For Claimant appeared in-house counsel Gerry Gunderson, Esq., Bismarck, ND. Respondent appeared pro se, Fort Myers, FL. DATE FILED: January 25, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on a promissory note upon termination of his employment. Claim Data Award

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerard D. Kiley and Marcia L. Kiley (Claimants) v. CISC World Markets Corp. and Lehman Brothers, Inc. (Respondents) Case Number: 02-00473 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Gerard D. Kiley ("G. Kiley") and Marcia L. Kiley ("M. Kiley") hereinafter collectively referred to as "Claimants": Lawrence L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pase "Mnmher- 02-00471 Estate of Frederick W. Weislander, r>f thft KespnnHp.ntg ^Tearing Sitft- Houston, Texas Richard J. Dannemiller, n, Robert L. Hopkins, Dunwoody Brokerage Services, Inc., Claimant Estate of Frederick W. Weislander, hereinafter referred to as "Claimant," was represented by Barry J. Rosenthal, Esq. of Bromberg, Rosenthal, Siegel & Goodman located in Ro

Award NASD Dispute Resolution In the Matters of the Arbitrations Between: James T. Massey and Leslee Bangs, Claimants v. William A. Knowles, TD Waterhouse Investor Services, Inc., Crown Capital Securities L.P., and Waddell & Reed, Inc., Respondents TD Waterhouse Investor Services, Inc., Cross-Claimant v. William A. Knowles, Cross- Respondent Case Number: 02-00465 Hearing Site: Portland, Oregon Nature of the Disputes: Customers v. Associated Pers

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Patricia Millender and Richard Edgar, Trustees of the Jeanette Mae Louise Millender Trust and Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and John G. Bernard Case Number: 02-00459 Hearing Site: Troy, Michigan REPRESENTATION OF PARTIES Patricia Millender and Richard Edgar, Trustees of the Jeanette

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between John Asmussen and Evelyn Asmussen, Claimants, And Merrill Lynch Pierce Fenner & Smith, Inc, 02-00458 Kirk J. Gill and John Simonson, Phoenix, Arizona Respondents REPRESENTATION OF PARTIES John Asmussen and Evelyn Asmussen were represented by David C. Anson, Esq. of Anson, Lammers and Barkley, Tucson, Arizona. Merrill Lynch Pierce Fenner & Smith, Inc.was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elise Wittenberg, (Claimant) vs. Investec Ernst & Company, (Respondent) Case Number: 02-00457 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elise Wittenberg, hereinafter referred to as "Claimant": Steven G. Samide, Esq., Mintz & Gold LLP, New York, NY. Respondent, Investec Ernst & Company, hereinafter referred to as "Respondent": Luigi Spadafora, Esq., Win

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Koster (Claimant) v. Kirlin Securities, Inc. (Respondent) Case Number: 02-00452 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Robert Koster ("Koster") hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Newark, NJ. Respondent Kirlin Securities, Inc. ("Kirlin") hereinafter referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00451 Paul A. Chambon, claimant vs. Salomon Smith Barney, Inc. and Mark Karwaski, respondents. ATTORNEYS: For Claimant appeared Martin J. Brosnan, Esq., of the firm Caputo Brosnan, Warren, MI. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: January 18, 2002 CASE SUMMARY: Claimant alleged that respondents breached their fiduciary duty by failing to pr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregg Richards, Claimant v. Milestone Financial Services, Inc. and Timothy J. Burke, Respondents Case Number: 00-02445 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondent Milestone Financial Services, Inc.: Gordon C. Young, Esq. Keesal, Young & Logan