Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter Inc., (Claimant) vs. Elisabeth Gilson, (Respondent) Case Number: 01-07171 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley Dean Witter Inc., hereinafter referred to as "Claimant": Edward A. Walton, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, Elisabeth Gilson, hereinafter referred to as "Respondent", did not make

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Inc. (Claimant) v. William Castle (Respondent) Case Number: 01-07170 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Dean Witter, Inc. ("MSDW") hereinafter referred to as "Claimant": Diane C. Fischer, Esq. and Edward Walton, Esq., Kane & Fischer, Ltd., Chicago, IL.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Daphne D. Bapisteller Opal V. Calfee Case No. 00-02393 Ferris Baker Watts, Inc. Julius M. Westheimer Mark V. Dyer aring Site- Baltimore, Maryland PF.PPF.SFTVTATTON OF PAttTTFS Claimants, Daphne D. Bapisteller ("Bapisteller") and Opal V. Calfee ("Calfee"), hereinafter collectively referred to as "Claimants": Jay Liner, Securities Recovery, Inc., Baltimore, MD.

Amended Award NASD in Uie Matter 01 the Arbitration Between: Name of the Claimant Case Number: 00-00260 Shirt Factory & Sporting Goods, Inc. Name of the Respondent Hearing She: Boca Raton, Florida Mark McLain Robert DiMarco REPRESENTATION OF PARTIES For Shirt Factory & Sporting Goods, Inc. ("SFSG") hereinafter referred to as "Claimant": Howard A. Tescher, Esq., Kipnis Tescher Lippman & Valinksy, Fort Lauderdale, Florida. For Respondent Mark

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Dorman (Claimant) v. Todd Mitchell Eberhard, Eberhard Investment Associates, Inc., Clearing Services of America, Inc., and Park South Securities, LLC (Respondents) Case Number: 01 -07169 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Paul Dorman ("Dorman") hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-07164 Pauline Ireland Names of the Respondents Hearing Site: Atlanta, Georgia The Goldman Sachs Group, Inc. Goldman Sachs & Co. REPRESENTATION OF PARTIES For Pauline Ireland, hereinafter referred to as "Claimant": J. Michael Rediker, Esq., Michael K.K. Choy, Esq., and Page A. Poerschke, Esq., Haskell Slaughter Young & Rediker, LLC, Bi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-07162 Robert Hanfling, Claimant/Counterclaim Respondent V. First Union Securities Financial Network, Inc., Christy Coughlin and Claire Holmes, Respondents/Counterclaim Claimants ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Boynton Beach, Fl. For Respondents/Counterclaim Claimants appeared in-house counsel, David H. Jarvis, Esq., Richmond, VA. DATE FILED: December 31

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp. nf thf* Claimants Cast* Number 01-07161 Curtis Martin Joanne Martin Tasin & Company, Inc. Chanse Menendez Robert Tassinari Rp.spnnHe.nts Hearing Sitp.- Philadelphia, PA Nature of the Dispute: Customer vs. Terminated Member and Associated Persons OF PARTTRS Claimants, Curtis Martin and Joanne Martin, hereinafter collectively referred to as "Claimants", were

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-07160 Anthony J. Vaccaro, claimant vs. Ameritrade, Inc. and Advanced Clearing, Inc., respondents. ATTORNEYS: For Claimant appeared John T. McGuire, Esq., New York, NY. For Respondents appeared James J. Vihstadt, of Ameritrade, Inc., Bellevue, NE. DATE FILED: December 21, 2001 CASE SUMMARY: Claimant alleged that respondents negligently processed orders he placed on his account. Claimant m

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-07154 UBS PaineWebber Incorporated, claimant/counterclaim respondent vs. Jonathan Deyoe, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent appeared pro se, San Francisco, CA. DATE FILED: December 28, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a loan under the terms set forth hi a P