Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ron P. Smith, Claimant v. Morgan Stanley DW Inc., Roc W. Willis, and Jean Claude Eenshuistra, Respondents Morgan Stanley DW Inc., Counter-Claimant v. Ron P. Smith, Counter-Respondent Case Number: 02-00069 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons Member v. Customer REPRESENTATION OF PARTIES For Claimant/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS/Paine Webber Inc, Claimant v. Michael Alevizon, Respondent Case Number: 02-00067 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Lisa A. Catalano, Esq. Davidson, Manchel & Brennan, LLP Northvale, New Jersey For Respondent: Michael Alevizon In Pro Per Boise, Idaho CASE INFORMATION Statement of Claim filed: January 2,2002 Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David L. Adler, individually and as TTEE of the David L. Adler IRA, Claimants v. Laila S. Marshall-Pence, Respondent Case Number: 02-00066 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants/Counter-Respondents: Erwin J. Shustak, Esq. Shustak Jalil & Heller San Diego, California For Respondent/Counter-Claimant: Jeffrey K. Compton, Esq. Liner Yan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: / Nwnbf r 02-00061 William J. Torrance and Jean L. Toirance of fh p - Rf g p nn ^ ff 'nts' Mgarjpg ftitfv Chicago, Illinois Edward D. Jones and Gregory Westray HFPAITTFS Claimants William J. Torrance and Jean L. Torrance hereinafter collectively referred to as "Claimants": Steven S. Berkeley Esq., of Shaheen, Novoselsky, Staat, Filipowski & Ec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of tli ft PlflJTnant/Prmntfrt-P^gpnnHprjt Pflgp N^im^f H 02-00057 Andrew Paul Blouet Hiring Sitf Dallas, Texas American Landmark Securities, Inc.; Shawn E. Bartholomae; and, Edward E. Bartholomae PFPPFSFNTATTON OT7 PAFTTFS \ Claimant/Counter-Respondent Andrew Paul Blouet ("Blouet"), hereinafter referred to as "Claimant": Charles M. Hamilton, Esq. of the firm of Frenc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Variable Annuity Life Insurance Company V. 02-00055 Denver, Colorado Respondent Peter A. Schopen REPRESENTATION OF PARTIES The Variable Annuity Life Insurance Company ("VALIC") was represented by Anthony L. Giacomini, Esq., of Hoffman, Reilly, Pozner & Williamson LLP, Denver, Colorado. Peter A. Schopen ("Schopen") was represented by Otto K, Hilbert IT, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: AM Capital, LLC v. ABN Amro Sage Corporation Case Number: 02-00049 consolidated with 02-06109 Tucker Anthony, Inc. n/k/a RBC Dain Raucher and Gerber Asset Management, L.L.C. v. ABN Amro Sage Corporation Hearing Site: Chicago, Illinois Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant AM Capital ("AMC") was represented by Eden L. Rhorer, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Millenium (FL) Limited Partnership and Gene Siegrist Names of the Respondents Fidelity National Capital Investors, Inc. and Charles Crouse, Jr. Case Number: 02-00041 Hearing Site: Boca Raton, Florida Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Millenium (FL) Limited Partnership and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Plaimant Pflgp Tsfymh^r' 02-00037 Charles A. Tenen T?^pn]-|fjpri,t Tearing frit^' Washington, DC Merrill Lynch, Pierce, Fenner and Smith, Inc. OF PARTT Claimant, Charles A. Tenen, was represented by Kevin Arthur, Esq., Kramon & Graham, P.A., Baltimore, MD. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., was represented by William E. Mahoney, Jr., Esq., St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacqueline Simpson (Claimant) v. John Houlihan, Margaret Hollywood, and Morgan Stanley Dean Witter, Inc. (Respondents) Case Number: 02-00033 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jacqueline Simpson ("Simpson") hereinafter referred to as "Claimant": Joseph B. Brown, Esq., Sobel & Brow