Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James Trombetta James Trombetta IRA Julie Trombetta Tara Trombetta Witover Names of the Respondents Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Peter J. Gialames Edward P. Lewis Name of Third- , Nnrnher- 01-06521 Hearing Site: Pittsburgh, PA Neil M. Niren, M.D. Nature of the Dispute: Customers vs.

Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Nordahl Development Corp., Inc. and Steven Robert Olson, Claimants v. Southwest Securities, Inc. and Mydiscountbroker.com, Respondents (01-06519) Nordahl Development Corp., Inc. and Steven Robert Olson, Claimants v. Salomon Smith Barney Inc. and American Express Financial Direct, Respondents (01-4)5244) Consolidated Case Number: 01-06519 Hearing SiteuPbrtlarid; Oregon REPRESENT

Award NASD In the Matter of the Arbitration Between: Kimberly Goldfarb, Claimant v. Prudential Securities, Incorporated, Respondent Case Number: 01 -06513 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kimberly Goldfarb, hereinafter referred to as "Claimant": Thomas P. Willcutts, Esq., Thomas P. Willcutts & Associates, Hartford, CT. For Prudential Securities, Incorporated ("PSI")> hereinafter referred to as "Respondent": Patrick Gaf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jonathan Siegel, (Claimant) vs. Dirks & Company, Inc. and Davis Thompkins, (Respondents) Case Number: 00-02247 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jonathan Siegel, hereinafter referred to as "Claimant": Howard R. Birnbach, Esq., Attorney at Law, Great Neck, NY. Respondents, Dirks & Company, Inc. ("Dirks") and Davis Thompkins ("Thompkins"),

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Villegas (Claimant) v. Tasin & Company, Inc., Brian Cunsolo, Salvatore Sapienza, Peter Gray, James Webster, Benjamin Ingoglia, Michael Sakstein, Thomas Mullaly, Mario Volpi and Robert Tassinari (Respondents) Michael Sakstein and Thomas Mullaly (CrossClaimants) v. Tasin & Company, Inc. (CrossRespondent) Michael Sakstein and Thomas Mullaly (Third-Party Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06510 Frank Leon Welch, claimant vs. Southtrust Securities, Inc.. respondent. ATTORNEYS: For Claimant appeared Kermit Kendriek, Esq., of the firm Burr & Forman, LLP, Birmingham. AL. For Respondent appeared Victor Hayslip, Esq., of the Firm Burr & Forman, LLP, Birmingham, AL, DATE FILED: November 27, 2001 CASE SUMMARY: Claimant alleged that respondent reported to CRD that he was

In the Matter of the Arbitration Between: Name of the Claimant H&R Block Financial Advisors, Inc. Names of the Respondents Estate of Mildred Least and Paul J. Least Case Number: 01-06508 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Kurt M. Miller, Staff Attorney, H&R Block Financial Advisors, Inc., Detroit, Michigan. Estate of Mildred Least and Paul J.

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-06507 Louis W. Payne, individually, jointly and on behalf of any IRA accounts Name of Respondent Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For Louis W. Payne, individually, jointly and on behalf of any IRA accounts ("Claimant"): Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Morgan Stanley DW

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Barash, Claimant v. Salomon Smith Barney, Inc., Respondent Case Number: 01-06505 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kenneth Barash, hereinafter referred to as "Claimant": Dennis Nowak, Esq., Tew Cardenas Rebak Kellogg Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, FL. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Barash, Claimant v. Salomon Smith Barney, Inc., Respondent Case Number: 01-06505 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kenneth Barash, hereinafter referred to as "Claimant": Dennis Nowak, Esq., Tew Cardenas Rebak Kellogg Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, FL. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to as "Resp