Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06833 Christy C. Yayas Adele H. Yayas Names of the Respondents Hearing Site: Tampa, Florida Peter B. Forret Medallion Investment Services, Inc. REPRESENTATION OF PARTIES For Christy C. Yayas and Adele H. Yayas, collectively referred to as "Claimants": Nicholas J. Taldone, Esq., Law Offices of Nicholas J. Taldone, Esquire, Clearwater, Florid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valgest (Claimant) v. Weatherly Securities Corporation and CISC Oppenheimer n/k/a CIBC World Markets Corp. (Respondents) Case Number: 01-06828 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES « Claimant Valgest ("Valgest") hereinafter referred to as "Claimant": Rachid Safa, Esq., Jalenques LeCasble & Associes, Paris, Fra

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06827 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Tampa, FL Paul Hanson REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJA"), hereinafter referred to as "Claimant": Robert C. Stokes, III, Assistant Corporate Counsel, RJA, St. Petersburg, FL. Paul Hanson ("Hanson"), hereinafter referred to as "Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lorraine Carter, Claimant v. Morgan Stanley DW, Inc., Prudential Securities Incorporated, John Jasper Lawrence, III and Christopher James Butler dba Lawrence & Butler, Respondents Case Number: 01-06826 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondent Morgan Stanley DW, Inc.: For Respondents Prudential Securities In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tatiana Namath, Claimant v. Wells Fargo Investments, LLC and Mark W. Lininger, Respondents Case Number: 01-06823 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael J. Rovell, Esq. Law Offices of Michael J. Rovell, Chtd. Chicago, Illinois For Respondents: Paul E. Vallone, Esq. Michelle S. Dangler, Esq. Hinshaw & Culbertson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Scott A. Webster Estate of Jeffrey Goldsby Case No. 00-02428 Name of Respondent Adam Kenneth Stern Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Scott A. Webster ("Webster") and the Estate of Jeffrey Goldsby ("Goldsby"), hereinafter collectively referred to as "Claimants": Terrance P. McNamara, Esq., St. Pete Beach, Florida an

Award NASD In the Matter of the Arbitration Between: Richard Rotker, IRA, Claimant v. Merrill Lynch Pierce Fermer and Smith, Inc., Maynard Engel and Sally Engel, Respondents Case Number: 01-06822 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Richard Rotker, IRA, hereinafter referred to as "Claimant'': Alan Foxman, Esq., The Law Office of Alan J, Foxman, PA, Boca Raton, FL. For Merrill Lynch Pierce Fenner and Smith, Inc. ("ML"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nffop. riaii-pant C.^KPI IflnmfrfT 01-06821 Mid- Wisconsin Bank ft Respondent Jtfft^fipg Sijftp.' Milwaukee, Wisconsin Prirnevest Financial Services Claimant Mid- Wisconsin Bank ("Mid-Wisconsin") was represented by Steven M. Anderson, Esq. of the firm of Ruder, Ware & Michler, located in Wausau, Wisconsin. Respondent Prirnevest Financial Services ('Trimevest") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06819 Linda Hiner and Robert Hiner, claimants vs. Douglas Brandeen and Prudential Securities Incorporated, respondents. ATTORNEYS: Claimants appeared pro se, Beltsville, MD. For Respondents appeared in-house counsel, Marcia L. Williams, Esq., New York, NY. DATE FILED: December 27, 2001 CASE SUMMARY: Claimants alleged that respondent Douglas Brandeen breached his fiduciary duty

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Faith A. Wilde, (Claimant) vs. John P. O'Leary, Jr., Adam Gurien, and Zachary Jackson Securities, L.P., (Respondents) Case Number: 01-06817 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Faith A. Wilde, hereinafter referred to as "Claimant": G. Martin Meyers, Esq., G. Martin Meyers, P.C., Denville, NJ. Respondents, John P. O'Leary, Jr. ("O'Leary"), Adam Gur