AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John J. Ficeli and Names of Respondents NatCity Investments, Inc., and Philip B. DeBoer Case Number: 01-06959 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES John J. Ficeli ("Claimant") was represented by Peter W. Steketee, Esq., Grand Rapids, Michigan. NatCity Investments, Inc. ("NatCity") was represented by Miles D. Hart, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy and Toni Ann Wujcik, Case Number:- 01-06953 Claimants, v. Hearing Site: Chicago, Illinois ' ' Morgan Stanley DW, Inc. and Damon T. Skinner, Respondents. NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Timothy and Toni Ann Wujcik (the "Wujciks"), hereinafter collectively referred to as "Claimants": And

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 01-06951 James R. Wiltman Name nf the Respondent Hearing Site- Pittsburgh, PA Hunter Associates, Inc, REPRESENTATION OF PARTIES Claimant, James R. Wiltman, hereinafter referred to as "Claimant", was represented by Byran K. Shreckengost, Esq., Pietragallo, Bosick & Gordon, Pittsburgh, Pennsylvania. Respondent, Hunter Associates, Inc., hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Plaimant Saul Bresalier Name nf the FMA Advisory, Inc. Pase Numher 01-06950 ing .Site: Philadelphia, Pennsylvania RFPRF.SFNTATTOM OF PARTTF.S Claimant Saul Bresalier, hereinafter referred to as "Claimant 11 , was represented by Henry J. Tyler, Esq., Ballard Spahr Andrews & Ingersoll, LLP, Voorhees, New Jersey. Respondent FMA Advisory, Inc., herein

Award NASD In the Matter of the Arbitration Between: Glendon Macallister, Claimant v. Fiserv Investor Services, Inc., Respondent Case Number: 01-06948 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Glendon Macallister, hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., Kelley & Warren, P.A., West Palm Beach, FL. For Respondent Fiserv Investor Services, Inc. ("FIS"): Angela Saccomandi, Esq., Assistant Vice President, Fis

Award NASD In the Matter of the Arbitration Between: Name of Claimant Monty E. Harrell Names of Respondents A.G. Edwards & Sons, Inc. N. Renee Pastor Case Number: 01-06947 Hearing Site: New Orleans, Lousiana REPRESENTATION OF PARTIES Monty E. Harrell ("Claimant") appeared pro se. For A.G. Edwards & Sons, Inc. ("A.G. Edwards"): Phyllis A. Hartrich, Litigation Counsel with Respondent A.G. Edwards, St. Louis, Missouri. For N. Renee

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linsco/Private Ledger Corp., Troy Miller, and Shari Merle, Claimants v. Ronald D. Dawson and Integrated Financial Services, Respondents Case Number: 01-06942 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: David J. Freniere, Esq. Amanda Candelmo, Esq. LPL Financial Services Boston, Massachusetts For Respondents Ronald D. Dawson an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith Mazanowski (Claimant) vs. Prime Capital Services, Inc. and Joseph Temkin (Respondents) Case Number: 01-06941 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Keith Mazanowski hereinafter referred to as "Claimant": Eugene Michael Kennedy, Esq., Law Office of Eugene Michael Kennedy, P. A. Fort Lauderdale, FL. Respondent, Prime Capital Services, Inc. ("Pri

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas O. Barnett Trust Names of Respondents Carillon Investments, Inc. Lester Albert Rosen Thomas H, Lawrence, III Richard Henry Fisher Union Central Insurance and Investments Hearing Site: Memphis, Tennessee Case No. 00-02371 REPRESENTATION OF PARTIES For Thomas O. Barnett Trust, hereinafter referred to as "Claimant": Michae

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Giannini (Claimant) v. Spencer Trask & Co. Inc., formerly known as Spencer Trask Holdings, Inc., Spencer Trask Ventures, Inc., formerly known as Spencer Trask Securities, Inc., Spencer Trask Investors, LLC, Kevin B. Kimberlin, Spencer F. Segura, and William P. Dioguardi (Respondents) Case Number: 01-06939 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant