Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herbert and Lorine Coutee, Claimants v. Barington Capital Group, LP, Morton Gerald Gropper, Bruce Adam Gropper, James Anthony Mitarotonda, Edwin Kantor, Mark Seth Cooper, James N. Giordano, Jerome Snyder, Carl Kleiderman, John Telfer, Scott Greiper, and Ken Baroneff, Respondents Case Number: 00-02444 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mary Ann Greenley Case No. 00-00267 Hearing Site: Tarnpa, Florida Name of Respondent R. M. Stark & Co., Inc. Name of Third-Party Respondent Jerrold A. Soff REPRESENTATION OF PARTIES For Mary Ann Greenley ("Greenley"), hereinafter referred to as "Claimant": Stephen A. Baker, Esq. and Spiro T. Komninos, Esq. of Allan & Shipp, P.A., St. Petersb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant? Paw 'Nfnmfrftr- 02-00427 Berean Capital, Inc. n fthf 1 ]? f ftp^TK^Tifo Hpan'na 9itp- Charlotte, N.C. First Union Securities, Inc. Douglas E. Lucas, Jr. Wesley M. Jones, Sr. F. Trezevant Moore, Jr. Claimant, Berean Capital, Inc., hereinafter referred to as "Claimant": Bruce Sanders, Esq., Law Office of Bruce Sanders, Silver Spring, MD. Responden

Award NASD Dispute Resolution In thelvlatter of the Arbitration Between: gr- 02-00426 Theresa A. Walsh, IRA * of thf Pf g p n Tidfnt < r HfflrinSniSitF' Philadelphia, PA RFPRFSFNTTATTON PIT PARTJFS Claimant, Theresa A. Walsh ("Walsh"), hereinafter referred to as "Claimant", was represented by John R. Crayton, Esq., Crayton & Belknap, Moorestown, NJ. Respondents, Legg Mason Wood Walker, Inc. ("Legg Mason") and Mark Douglas Men

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00424 Alice Collins and Roberta and Richard Bramhall, claimants vs. First Union Securities, Inc. and Frank Diassi, respondents. ATTORNEYS: Claimants appeared pro se through Alice Collins, Long Valley, NJ. For Respondents appeared Brian A. Carlis, Esq., of the firm Stark & Stark, P.C., Princeton, NJ. DATE FILED: January 23, 2002 CASE SUMMARY: Claimants alleged that respondents failed to s

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00423 RBC Dain Rauscher, claimant vs. Hector H. Cordova, respondent. ATTORNEYS: For Claimant appeared Jonathan harris, Esq., of the firm Lindquist & Vennum P.L.L.P., Minneapolis, MN. Respondent appeared pro se, Houston, TX. DATE FILED: January 23, 2002 CASE SUMMARY: Claimant alleged that respondent breached his contractual obligations in failing to repay monies owed on a promis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth W. Rolapp, Claimant v. Everen Securities, Inc. (n/k/a First Union Securities, Inc.), Paine Webber, Inc. and Kenneth Meyers, Respondents Case Number: 02-00418 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents Everen Securities, Inc. (n/k/a Fir

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants Martha I. Cervantes Mendez, individually and on behalf of her children, Hector Gomez Cervantes, Luis Antonio Gomez Cervantes and Martha Gomez Cervantes, and on behalf of Riverhampton Investments, Ltd., H.A.M. vs. Case Number: 02-004^4 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc., Salomon Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael S. Worobec a/k/a Mike S. Worobec, individually and as co-trustee of the Worobec Family Trust UAD 6/16/99, and Charlotte Worobec, individually and as co-trustee of the Worobec Family Trust UAD 6/16/99, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Jevin Robert McGonigle, Respondents Case Number: 02-00412 Hearing Site: Boca Raton, Florida REPRESENTATION

Award NASD In the Matter of the Arbitration Between: Name of Claimant Janice Blue Names of Respondents Morgan Stanley DW, Inc. E. Steve Scales Jay Kemper Mark Alexander Case Number: 02-00411 Hearing Site: New Orleans, Lousiana REPRESENTATION OF PARTIES For Janice Blue ("Claimant"): A. Spencer Gilbert, III, Esq., Law Offices of Wise Carter Child & Caraway, Jackson, Mississippi. For Morgan Stanley DW, Inc. ("Morgan Stanley"): A