Award NASD In the Matter of the Arbitration Between: William L. Reynolds, Claudette Cote Reynolds and Marnan Group, Inc., Claimants v. Prudential Securities Inc., Thomas M. Quinn, Joseph K. Huenke, Richard C. Karoll, individually and d/b/a the Karoll Quinn Group and Douglas E. Haas, Respondents Case Number: 02-00220 Hearing Site: Tampa, FL REPRESENTATION OF PARTIES For William E. Reynolds, Claudette Cote Reynolds and Marnan Group, hereinafter collective

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00219 Michael J. Sawczak and Kellie A. Sawczak, claimants vs. Sterling Financial Investment Group, Inc., and Craig Dima respondents. ATTORNEYS: Claimants appeared pro se, Lake Worth, FL. For Respondent Sterling Financial Investment Group, Inc., appeared Richard B. Simring, Esq., of the firm Stroock & Stroock & Lavan LLP, Miami, FL, Respondent Craig Dima appeared pro se, Islandia, NY.

Award NASD In the Matter of the Arbitration Between: Name of Claimant Janis H. Wheeler Names of Respondents Allen Douglas Securities, Inc. Alexander C. Lethbridge-Castro Richard A. Pizzuti Case Number: 02-00218 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Janis H. Wheeler ("Claimant"): Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A. } Orlando, Florida. For Allen Douglas Securities, Inc. ("A

NASD Dispute Resolution Arbitration No. 02-00211 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank J. Dittrich, individually and on behalf of his IKA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Brian H. Shoemaker (Respondents) Case Number: 02-00211 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Frank J. Dittrich, individually and on behalf of his IRA, hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 02-00207 Frederick Kenneth Lamora, claimant vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Roseville, CA. For Respondent appeared in-house counsel, Mauricio S. Beugelmans, Esq., San Francisco, CA. DATE FILED: January 14, 2002 CASE SUMMARY: Claimant alleged that respondent sold him 4000 shares of LCAV without his authorization. Claimant contended t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mamoon "Mike" Alahmad, Claimant v. Mark G. Grudge and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 02-00206 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES i Kl For Claimant: Stuart C. Morgan, Esq. Eisenhower & Carlson, PLLC Tacoma, Washington For Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02410 Wall Street Access, claimant vs. Margarite Ann Petrillo, respondent. ATTORNEYS: For Claimant appeared Joseph A. Mendola, Vice President of Compliance, and Denis P. Kelleher, Esq., of the firm 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 rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bara M. Tarzaban, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Mark G. Grudge, Respondents Case Number: 02-00205 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Stuart C. Morgan, Esq. Eisenhower & Carlson, PLLC Tacoma, Washington For Respondent Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sundaresh Ramayya, Dr. Aruna Ramayya and The Benaka Foundation, Claimants v. Wells Fargo Bank, N.A. and Wells Fargo Securities, Respondents Case Number: 02-00204 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Non-Member REPRESENTATION OF PARTIES For Claimants: Steven U. Ross, Esq. Law Offices of Steven U. Ross, APLC Los Angeles, Californi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Nacif, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Ali Hussain Alsari, and Quinton H. Ellis, Jr., Respondents Case Number: 02-00203 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Matthew R. Miller, Esq. Jeffrey & Dreher, L.L.P. San D