Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants __ Case Number: 01-06206 Douglas B. Kaye Douglas B. Kaye SEP IRA Melanie Kaye IRA Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber, Inc. Arthur S. Day REPRESENTATION OF PARTIES For Douglas B. Kaye, Douglas B. Kaye SEP IRA, and Melanie Kaye IRA, collectively referred to as "Claimants": William T. Kirtley, Esq., William T. Ki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Self Trading Securities, Inc. Claimant, vs. SWS Securities, Inc. Respondent and Third-Party Claimant, vs. Toby R. Gates and G.E.M. Group, Inc. Third-Party Respondents. Case Number: Hearing Site: 01-06205 Houston, Texas Nature of the Dispute: Member vs. Member vs. Customer TPF,?ffF.SF.NTATimv np PARTIES Claimant Self Trading Securities, Inc., h

07/1.6/01 MON 11: OS FAX NASD REGULATION 121002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Watts and Shirley J. Watts, Claimants, vs. Eisner Securities, Inc.; Jason Rauschelbach and Bruce O. Oakes, Respondents. Case Number 00-01634 Hearing jjite: St. Louis, MO BEPRESENTAT1QM OfJ^RTIJji S Claimant, John and Shirley Watts ("Claimants") were represented by Robert Shultz, Esq., located in St. Louis, Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Daniel C. Fabian and Barbara M. Fabian Names of the Respondents Michael Kress; Donaldson, Lufkin & Jenrette Securities Corporation; and, Credit Suisse First Boston Corporation, successor in interest to Donaldson, Lufkin & Jenrette Securities Corporation Case Number: 01-06204 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam* n f the n*"Trmntff Kathryn Jane Minor and Michael Minor Case Number: 01-06202 of thfi P p $p n Tid?nt g John A. Shalek; Allen R. Bearing; and F.F.P. Securities, Inc. Hearing Site* Milwaukee, Wisconsin RFy.sff.i TTn\ Claimants Kathryn Jane Minor and Michael Minor, hereinafter referred to as "Claimants", were pro se. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John G. Frankot, Jr. and John G. Frankot, Jr., IRA, Claimants v. Wells Fargo Investments, LLC, Wells Fargo Securities, Inc., Kurt James Halverstadt, Sean A. Lehmann and Thomas M. Sullivan, Respondents Case Number: 01-06196 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Colleen B. Peter man, Claimant Vs. Case Number: 01-06195 Prudential Securities, Inc., and John D. Story, Respondents. Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant Colleen B. Peterman ("Claimant") was represented by John A. Beam, HI, Esquire, of Beam, Miller & Rogers, PLLC, Nashville, Tennessee. Respondents Prudential Securities, Inc. ("Pr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary E. Sullivan, (Claimant) vs. Tucker Anthony Incorporated a/k/a Gibraltar Securities Co. and n/k/a RBC Dain Rauscher, Inc. (Respondents) Case Number: 01-06194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gary E. Sullivan hereinafter referred to as "Claimant": Leonard Weintraub, Esq., Paduano & Weintraub LLP, New York, NY. Respondent, Tucker Anthony Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vladimir Yampolsky, Claimant v. Morgan Stanley Dean Witter Reynolds, Inc. and Alexander Plotkin, Respondents Case Number: 01-06192 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Stephen J. Riggs, Esq. Brady, Riggs & Ford Pasadena, California For Respondents: Todd E. Gordinier, Esq. Edward S. Kim, Esq. Stradling Yocca Carlson & Rauth

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06191 William C. Rand, Esq., claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: For Claimant appeared William Rand, Esq., of the firm Coudert Brothers, LLP, New York, NY. For Respondent appeared in-house counsel, Colleen Hankins, Esq., Boston, MA. DATE FILED: November 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to follow specific instructions