Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimants Pasf! Nrnnter- 02-00326 Naomi Gottlieb by Jonathan Slenn guardian Jonathan Slenn Murray Slenn Beverly Slenn Heather Susan Slenn Name nf thp Rftgjvmftentg Heflrin£ Site: Philadelphia, PA Fahnestock & Co., Inc. Jeffrey Vizak Nature of the Dispute: Customers vs. Member and Associated Person. RFPttFSFNTATTON Off PARTIFS Claimants, Naomi Gottlieb by Jona

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00325 H&R Block Financial Advisors, Inc., claimant vs. Frank P. Lamarra, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, ML Respondent did not respond to the Statement of Claim. DATE FILED: January 18, 2002 CASE SUMMARY: Claimant alleged that respondent received and retained a $4,250.00 overpayment which forced claimant to debit respondent's

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita Wyier, Martin Wyler, the Anita Wyler IRA Rollover, the Anita Wyler IRA, the Martin Wyler IRA Rollover, the Martin Wyler IRA, and Stacey Davidoff-Peskin, (Claimants) vs. Gruntal & Co., LLC and Saul Federman, (Respondents) Case Number: 02-00317 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Anita Wyler ("A. Wyler"), Martin Wyler ("M. Wyler"), the Anita Wyl

NASD Dispute Resolution Arbitration No. 02-00307 A_ward Page 1 of 4 Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Reinglass (Claimant) v. Morgan Stanley DW Inc., (Respondent) Case Number: 02-00307 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant James Reinglass, hereinafter referred to as "Claimant": Ari H. Jaffe, Esq., Kohrman Jackson & Krantz, PLL, Cleveland, OH. Respondent Morgan Stanley DW

Award NASD Dispute Resolution In the Matter of the Arbitration Between: NfTP p of th p n ? liT n aTl t ' PagR Nnrnhftr 02-00304 First Union Securities, Inc. Name of ft 1 ff ^ ftgpnnd ent Hearing SitR- Dallas, Texas James R. Hamaker ' , TTTF T1TSPTTTF Member Firm vs. Associated Person OF PAHTTF.S Claimant First Union Securities, Inc., hereinafter referred to as "Claimant": Renan L Sugarman,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02414 Wall Street Access, Claimant vs. Tony Finical, Respondent. ATTORNEYS: Claimant, Wall Street Access, ("Claimant"), appeared through its representative, Joseph A. Mendola, Vice-President/Compiiance, New York, NY. Respondent, Tony Finical, ("Respondent"), appeared Pro Se, Denham Springs, LA. DATE FILED: June 7, 2000. CASE SUMMARY: Claimant alleged that it is a discount broker-de

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Perry and Sueellen Perry and The Robert & Sueellen Perry Family Trust vs. Morgan Stanley Dean Witter & Co. Case Number: 02-00301 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Aidikoff &Uhl Beverly Hills, California For Respondent: Kevin K. Fitzgerald, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kristine N. Tran. Claimant v. Wells Fargo Investments, LLC and Bradley A. Glotzbach. Respondents Case Number: 02-00298 Hearing Site: San Diego. California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeffrey P. Lendrum, Esq. The Lendrum Law Firm La Jolla, California For Respondents: Howard A. Kipnis, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Jerral Schwartzman, Trustee of The Schwartzman Family Trust, Claimant v. Wells Fargo Van Kasper, ULC and N. David Hoover, Respondents Case Number: 02-00297 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: David E. Newhouse, Esq. Newhouse & Associates San Mateo, California For Respondents: Aliya S, Gordon, Esq. Steefel, Levitt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lynne H. Gewant Names of the Respondents Salomon Smith Barney, Inc. Jeffrey R, Zapolean Samantha Siegel Case Number: 02-00296 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lynne H. Gewant ("Gewant")., hereinafter referred to as "Claimant": Eric C. C