Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 01-06541 Edward B. Cheever, Trustee of J. Francis Burns Trust Name of the Respondent: Hearing Site: Boston, CSFBdirect, Inc. Massachusetts REPRESENTATION OF PARTIES Claimant, J. Francis Burns Trust, hereinafter referred to as "Claimant": John S. Reidy, Esq., Bishop & Reidy, P.C., Quincy, MA. Respondent, CSFBdirect, Inc., hereinafter referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia L. Little r- 01-06540 Walnut Street Securities, Inc.; Marcus J. Schrenker; Heritage Wealth Resource Advisors, Inc.; and, Multi-Financial Securities Corporation Hearing Sit p * Indianapolis, Indiana R \TATTnM Claimant Cynthia L. Little, hereinafter referred to as "Claimant": Mark E. Maddox, Esq. of the firm of Maddox Hargett & Caruso, P.C., located in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Han-IP of the fllaimant William H. Fuller nf the Respondents Troy Goldberg, Joseph Cairino, Jr., Andre Jordan, and Preferred Securities Group, Inc. Nnmher 01-06538 g Site: Charlotte, North Carolina RFJ>RF.SKNTATTON OF PARTIES Claimant William H. Fuller, hereinafter referred to as "Claimant", was represented by Joseph L. Ledford, Esq., Attorney at Law, Charlotte,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert A. Whigham, Jr. and Patricia F. Whigham, individually and as custodian under the UGMA for the benefit of David R. Whigham (a minor), and Jennifer A. Whigham, Thomas S. Whigham, and Diane M. Whigham, (Claimants) vs. Onlinetradinginc.com Corp., Bear Stearns Securities Corp., Barry Goodman, Janis Bevivino, and William L. Mark, (Respondents) Case Number: 00-02249 Hearing Site

NASD In the Matter of the Arbitration Between: Name of the .Claimant Case Number: 01-06536 Winter Park Securities, Inc. Names of the Respondents Hearing Site: Tampa, Florida Thomas L. Bojadzijev d/b/a T/B Consultants Thomas L. Bojadzijev Lisa M. Clymer REPRESENTATION OF PARTIES For Winter Park Securities, Inc., hereinafter referred to as "Claimant": J. Claude Skinner, President, Winter Park Securities, Inc. Thomas L. Bojadzijev d/b/a T/B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number 01-06535 Pauline McFarlane Pauline McFarlane, IRA Name of the Rftsprmftent Hearing Site- Richmond, VA Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Customers v. Member. RttPRFSFNTATTON OF PAUTOES -Claimants, were represented by Emerson R. Marks, Jr., Esq., Attorney at Law, Charlottesville, Vi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Yu Galan, David Uy, Jiin Jiin Li, Benita Chua, Charlie Yu Gaian and Sally Yu Galan, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 01-06534 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: Leonard Steiner, Esq. Steiner & Libo Beverly Hills, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Pohogonot Trust, (Claimant) vs. Chase Investment Services Corp. and Lisa M. Rossi, (Respondents) Case Number: 01-06531 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Pohogonot Trust, hereinafter referred to as "Claimant": Gordon M. Orloff, Esq., Rackemann, Sawyer & Brewster, Boston, MA. Respondents, Chase Investment Services Corp. ("Chase") and Lisa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thft Claimant Sonia J. Arriola Name of the Respondent Morgan Stanley DW, Inc. Case Niimher: 01-06528 Hearing Sift*- Washington, D.C. RFPRF.SFNTATTON OF PARTIES Claimant Sonia J. Arriola, hereinafter referred to as "Claimant", was not represented by counsel. Respondent Morgan Stanley DW, Inc., hereinafter referred to as "Respondent", was represented by Gary E.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-06526 Donald Whitfield, claimant vs. Morgan Keegan & Co., Inc., respondent. ATTORNEYS: Claimant appeared pro.se, West Memphis, AR. For Respondent appeared in-house counsel, Niel Prosser, Esq., Memphis, TN. DATE FILED: December 3, 2001 CASE SUMMARY: Claimant alleged that respondent failed to execute orders and overcharged commissions on trades. Claimant further alleged that respondent exe