NASD DISPUTE RESOLUTION AWARD NASD DISPUTE CASE: 01-0671S T, Schrader, claimant vs. Ptefened Securities Group, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Warren, OH. For Respondent appeared Victor Lessinger, Boca Raton, FL, DATE FILED: December 21, 2001 CASE SUMMARY: Claimant alleged that respondent processed unauthorized trades in his account. Claimant maintained that due to respondent's actions the account suffered losses. ARBITRAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p. r^rnant r^gp |N[nrnh^- 01-06717 Elizabeth Ann Purcell Name nf tV>p ttftflpnjflffcinf Hearing SiTF-* Chicago, Illinois Pamela M. Olah OFPARTTFS Claimant Elizabeth Ann Purcell, hereinafter referred to as "Claimant": Steven Boulton, Esq., of Cantwell & Cantwell, located in Chicago, Illinois. Respondent Pamela M. Olah, hereinafter referred to as referred to as "Respondent": T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant American Express Financial Advisors, Inc. Name nf the Respondent Suzanne M. Osborne ase Number- 01-06713 Hearing Site: Richmond, Virginia RFPRF.SF.NTATION OF PARTTFS Claimant American Express Financial Advisors, Inc., hereinafter referred to as "Claimant", was represented by Gilbert W. Boyce, Kutak Rock, LLP, Washington, DC. Respondent Suzanne M.

Award NASD Dispute In the-Matter of the Arbitration Between: Name nf the Claimant CaseNnmhfir: 01-06712 First Union Securities, Inc. n/k/a Wachovia Securities, Inc. Name rvf the Respondents Hearing Site- Richmond, Virginia Premier Capital Group, L.P., Mathieu R. Reyna, and Premier Capital Partners KFPRF.SF.NTATTON OF PARTTFS Claimant First Union Securities, Inc. n/k/a Wachovia Securities, Inc., hereinafter referred to as "Claimant", was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Belarminio Nunez and Monica Nunez Fermin, (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., UBS Paine Webber Inc., and Lawrence McQuaid, (Respondents) Case Number: 01-06708 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Belarmino Nunez ("Nunez") and Monica Nunez Fermin ("Fermin"), hereinafter collectively referred to as "Claimants": Lois W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carmen Merlino ("Claimant") vs. Fidelity Brokerage Services, Inc. ("Respondent") Case Number: 01-06706 Hearing Site: Boston, Massachusetts ,* REPRESENTATION OF PARTIES Claimant, Carmen Merlino, hereinafter referred to as "Claimant": T. Christopher Donnelly, Esq., Donnelly Conroy & Gelhaar, LLP, Boston, MA. Previously represented by: George L. Bernstein, Esq., Bernstein, Colder &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tray Cahillane, (Claimant) vs. Morgan Stanley Dean Witter, Inc. and Declan Maher, (Respondents) Case Number: 01-06698 Hearing Site: Boston, Massachusetts Claimant, Tray Cahillane, hereinafter referred to as "Claimant": Thomas H. Tucker, Esq., a sole practitioner, Duxbury, MA. Respondents, Morgan Stanley Dean Witter, Inc. ("MSDW") and Declan Maher ("Maher"), hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel Saltz and the Samuel Saltz IRA, (Claimants) vs. UBS PaineWebber, Inc., Glenn F. O'Neill, and Michael F. Greenstone, (Respondents) Case Number: 01-06697 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Samuel Saltz ("Saltz") and the Samuel Saltz IRA ("IRA"), hereinafter collectively referred to as "Claimants": Adolph D. Seltzer, Esq., a sole practitioner,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Cherner (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 01-06696 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nancy Cherner ("Cherner"), hereinafter referred to as "Claimant": Thomas P. Mohen, Esq., Mohen, Craig & Treacy, LLP, Locust Valley, NY. Respondent, Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill") hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02420 Wall Street Access, Claimant vs. All Transmission Factory Outlet, Inc., Respondent. ATTORNEYS: For Claimant appeared Denis Kelleher, Kelleher, Leone & Schwartz LLP, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 7, 2000. CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balance created in the account from an unsolicit