Award NASD Dispute Resolution In the Matter of the Arbitration Between: Antoinette Marsillo and Carmela Barile, (Claimants) vs, HSBC Brokerage (USA) Inc. and Edward Geniton, (Respondents) Case Number: 02-00197 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Antoinette Marsillo ("Marsillo") and Carmela Barile ("Barile"), hereinafter collectively referred to as "Claimants": Dan Brecher, Esq., Law Offices of Dan Brecher, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Albert L. Barbara, (Claimant) vs. Win Capital Corp. and Steven Bayern, (Respondents) Case Number: 02-00196 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Estate of Albert L. Barbara, hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New York, NY. Respondents, Win Capital Corp. ("Win") and Steven Bayern (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Weingarten (Claimant) v. Metropolitan Life Insurance Company, Ronald A. Roganti, Peter M. Schwarz, Dorian R. Hansen, and Vincent G. Vitiello (Respondents) Case Number: 02-00195 Hearing Site: New York, New York Nature of the Dftpute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Alan Weingarten, hereinafter referred to as "Claimant": Jack

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00186 Duane L. Shaffer, claimant vs. Patrick Esparrago and John Vaughan R/F First Republic Group, LLC, respondents. ATTORNEYS: Claimant appeared pro se, Mooreville, IN. For Respondent Patrick Esparrago appeared David A. Gehn, Esq., of the firm Gusrae, Kaplan & Bruno, PLLC, New York, NY. For Respondent First Republic Group, LLC appeared John J. Vaughan, Chief Compliance Offi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry J. Foti (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John A. Busco, (Respondents) Case Number: 02-00181 Hearing Site: New York, New York Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Harry J. Foti ("Foti") hereinafter referred to as "Claimant": Harold I. Geringer, Esq., Geringer & Dolan, LLP, New

NASD Dispute Resolution Arbitration No. 02-00179 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Black (Claimant) vs. Fleet Securities, Inc. and Fleet Boston Financial Corporation, (Respondents) and Neil Feldman (Claimant) vs. Fleet Securities, Inc. and Fleet Boston Financial Corporation, (Respondents) Case Number: 02-00179(consolidated w/02-00178) Hearing Site: New York, New York REPR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02409 Wall Street Access, claimant vs. Jacob Neuman, respondent. ATTORNEYS: For Claimant appeared Denis P. Kelleher, Esq. of the firm Kelleher, Leone & Schwartz, New York, NY. Respondent appeared Pro Se., Jamaica Estates, NY. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to remit payment for an unsecured debit balance. Respondent alleged in his

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: pf* 02-00173 David A. Noyes & Company, Inc. nf th< * David Sayre fearing Sjff Chicago, Illinois nf Thirf- Brian Pawlowski RF.PRF.CTWT A JJON OF PATjTTFS Claimant/Counter Respondent David Noyes & Company hereinafter referred to as "Noyes" or "Claimant/Counter-Respondent": James R. Latta, Esq. and Alon Stein, Esq;, of James R. Latta, located in Chicago, IL.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gary Lausier and Evonne Lausier, Individually and as Joint Tenants and The Gary Lausier, IRA and 02-00172 Kansas City, Missouri Name of Respondents Merrill, Lynch, Pierce, Fenner and Smith, Inc. Scott Fitzgerald REPRESENTATION OF PARTIES Gary Lausier and Evonne Lausier, Individually and as Joint Tenants and The Gary Lausier, IRA ("Claimants") wer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert C. and Louisa T. Patterson and 02-00171 Phoenix, Arizona Name of Respondents New England Securities Corporation Charles R. Kolesar Stephen M. Kolesar Thomas W. McConnell REPRESENTATION OF PARTIES Robert C. and Louisa T. Patterson ("Claimants") were represented by Robert C. Hackett, Esq., Thomas Quigley, Esq. and Carolyn Matthews, Esq.,