Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "Bracci Consolidated Cases" Consolidated Case Number: 00-02396 Hearing Site: San Diego, California Michael G. Bracci, Claimant v. San Clemente Securities, Inc., InterFirst Capital Corporation, Cooke B. Christopher, Thomas H. Sunderland, and Anthony Clark Byrd, Respondents And related Third-Party Claim Case Number: 00-02396 San Clemente Securities, Inc., Claimant v. A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandy Lindstedt, Claimant v. John Hancock Financial Services, Inc., Signator Investors, Inc. and Scott Reda, Respondents Number- 02-00032 Hiring Sfrp- New York, New York Customer v. Members and Associated Person RFPRFSFNTATION OF PARTTFS Claimant, Sandy Lindstedt ("Lindstedt"), hereinafter referred to as "Claimant": George L. Mahr, Esq., George L. Mahr, P.C., Madison,

CASE: 02-00030 Jep Loft, claimant vs. Fidelity Brokerage Services, LLC, respondent. ATTORNEYS: Claimant appeared pro se, Gentofte, Denmark. For Respondent appeared in-house counsel, Colleen A. Hankins, Esq., Boston, MA. DATE FILED: January 2, 2002 CASE SUMMARY: Claimant alleged that respondent made misrepresentations regarding investments made in his account. Claimant contended that respondent recommended the mutual Fidelity Europe fund which was unsuit

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patricia C. Wolfmgton rase Number 02-00027 Name of the Respondents Merrill Lynch, Pierce, Fermer & Smith, Inc. John A. Lockette Robert F Ursomarso Jr. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTTFS Claimant Patricia C. Wolfmgton, hereinafter referred to as "Claimant", was represented by Nicholas J. Giuliano, Esq., Attorne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 02-00026 Carolyn Turner Willman Names nf the Respondents Hearing Site- Washington, D.C. Robert D. Reich, Robert J. Pellicoro and Bane of America Investment Services, Inc. Nature of the Dispute: Customer v. Associated Persons and Member REPRESENTATION OF PARTIES Claimant, Carolyn Turner Willman, hereinafter referred to as "Claimant'*, represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Dennis P. Breno (Claimant) vs. Prudential Securities, Inc, Everett W. Cowles, Jr. and Jeffrey D. Hughes (Respondents) Case Number: 02-00025 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Dennis P. Breno ("Breno") hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Philadelphia, PA. Respondents Prudential Securities, Inc. ("PSI"), Everett W. Cowle

NASD Dispute Resolution Arbitration No. 02-00020 Award Page 2 RELIEF REQUESTED In their Statement of Claim, Claimants requested compensatory damages in the amount of $15,000.00, plus reasonable interest. Claimants further requested that forum fees be assessed against the Respondents. Respondents requested that the Arbitrator dismiss with prejudice all claims of the Claimants; order payment to Respondents of an amount proven at the hearing for their atto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary Lou Pizzanelli and 02-00018 Phoenix, Arizona Name of Respondents Prudential Securities, Inc. Thomas A. Mailloux Robert S. Baker REPRESENTATION OF PARTIES Mary Lou Pizzanelli ("Claimant") was represented by David C. Anson, Esq., Anson Lammers Barkley, Tucson, Arizona. Prudential Securities, Inc. ("Respondent Prudential"), Thomas A. Maillou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mames of the Claimants Case Number: 02-00017 James A. Hogan Jacqueline M. Baniak Patty E. Hogan Janet M. Dallavis Kelly Wehrle Carole A, Davis of the Resondents Stifel, Nicolaus & Co, Inc. Michael J. McGonigle HearingjSite: St. Louis, Missouri REPRESENTATION OF PARTIES Claimants James A. Hogan, Jacqueline M. Baniak, Patty E. Hogan, Janet M. Dallavis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 02-00013 Subrarnoniam Jayakumar, M.D. Name of the Respondents Hearing Site- Pittsburgh, PA Merrill Lynch, Pierce, Fenner & Smith Henry M. Blodget Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimant, Subrarnoniam Jayakumar, M.D. ("Claimant"), was represented by Stanley M. Stein, Esq., Feld