Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-00354 David and Robin Pollitzer, Robin A. Love IRA, David Pollitzer IRA, David Pollitzer Custodian for Hailey S. Pollitzer, David Pollitzer, Custodian for Lauren L. Pollitzer, David and Eric Pollitzer Name of the Respondents Hearing Site: Albany, New York McGinn Smith & Co., Inc. Robert Deane REPRESENTATION OF PARTIES Claimants, Davi

A „ ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gail R. Ludvigson vs. Salomon Smith Barney, Inc. & Donald Schwarz Case Number: 02-00351 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeffrey M. Tanzer, Esq. Whitwell, Jacoby, Emhoff, LLP Beverly Hills, California For Respondents: J. Stephen Young, Esq. Keesal, Young & Logan, PC Long Beach, California CASE INFO

Award NASD Dispute Resolution Ln the Matter of the Arbitration Between: Name Claimants Lorenz and Victoria Hofinan of the* Respondent Preston Langley Asset Management, Inc. 02-00338 Hearing Site- Raleigh, North Carolina RFPRFSFNTATTON OF PARTTFS Claimants Lorenz and Victoria Hofinan, hereinafter collectively referred to as "Claimants", were represented by H. C. Kirkhart, Esq., Law Offices of H.C. Kirkhart, Gary, North Carolina. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dr. Terry Richards, Individually Dr. Terry Richards, TTE Profit Sharing Account PS Plan Names of the Respondents Ladenburg, Thalmann & Co., Inc. Joseph Vicari Michael Sherman Neil Kleinman Case Number: 02-00337 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rhoda Solomos, (Claimant) vs. Gregory M. Nardolillo, (Respondent) Case Number: 02-00336 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rhoda Solomos, hereinafter referred to as "Claimant": Matthew H. Maschler, Esq., a sole practitioner, Edison, NJ. Respondent, Gregory M. Nardolillo, hereinafter referred to as "Respondent": Peter W. Gillies, Esq., Vice Presi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02415 Wall Street Access, Claimant vs. Joaquin Agatep, Respondent. ATTORNEYS: For Claimant appeared Joseph A. Mendola, VP Compliance, Wall Street Access, 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 unsolicited trade Claim

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James F. Tilden, Jr. vs. Names of Respondents UBS Financial Services, Inc. George C. Bitting, Jr. Case Number: 02-00334 Hearing Site: Kansas City, Missouri NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES James F. Tilden, Jr. ("Claimant") was represented by Jeffrey S. Kruske, Esq., Law Office

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Susan Welo V. - 02-00333 Denver, Colorado Respondents UBS Paine Webber, Inc. William O. Haug, Sr. and Jerilyn J, Rethemier Counter-Claimant UBS PaineWebber, Inc. V. Counter-Respondent Susan Welo REPRESENTATION OF PARTIES Susan Welo ("Claimant") was represented by Ethan Brecher, Esq. and David Marek, Esq., of Liddle & R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce W. Young and 02-00331 Phoenix, Arizona Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Bruce W. Young ("Claimant") was represented by John A. Agostini, Esq. and Kevin Kinne, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachusetts. A.G. Edwards & Sons, Inc. ("Respondent") was represented by Nuviah Shirazi, Esq., A.G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tfrp flail-riant Jefferson Pilot Securities Corporation Name of the Respondent Bryan C. Davis Case Number! 02-00327 Hearing Site- Pittsburgh, Pennsylvania RFPRF.SKNTATTON OF PARTTF.S Claimant Jefferson Pilot Securities Corporation, hereinafter referred to as "Claimant", was represented by Charlene Grant, Esq. and Carol Hardiman, Jefferson Pilot Securities Corpora