NASD Dispute Resolution Arbitration No. 01-06167 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresa E. Kreson, (Claimant) vs. Woodbury Financial Services, Inc., f7k/a Fords Investors, Inc., (Respondent) Case Number: 01-06167 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Theresa E. Kreson, hereinafter referred to as "Claimant": Thomas C. Wagner, Esq., Van Deusen & Wagner, LLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 01-06165 Robert Martinek nf the Respondent Morgan Stanley Dean Witter, Inc., and Kenneth Favata __ _ Hearing Site: Chicago, Illinois HFPUFSFTUTATIfW DFPART1FS Claimant Robert Marinek hereinafter referred to as "Claimant": Andrew J. Stoltman Esq., of Maddox, Koeller, Hargett & Caruso, located in Chicago, Illinois. Respondents Morgan Stan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eva Zaleska, Claimant v. Stephen Roy Connors, Sr. and Capital Markets Growth Corporation, Respondents Case Number: 00-01630 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent Stephen Roy Connors, Sr. Stephen Roy Connors, Sr. In Pro Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06164 Patricia Parisi Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Inc. ' i REPRESENTATION OF PARTIES For Patricia Parisi, hereinafter referred to as "Claimant": Hugo L. Black, Jr., Esq. and Bonnie J. Losak-Jimenez, Esq., Hugo L. Black, Jr., P.A., Miami, Florida. For Prudential Securities, Inc., here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co. Inc. and Josephthal & Co., Inc. (Claimants) v. Ryan, Beck & Co., Inc., Michael Adrian, Cindy Ball, Robert P. Co'dignotto, Buddy S. Cohen, Raymond E. Dunsmore, David S. French, Jackie L. Fries, Barbara L. Fuller, Carol M. Gooding, Holly L. Heard, Steven J. Kowitski, Robert O. Mannion, Charles D. Mayer, Elizabeth M. McManus, Keith E. Miller, John Morgan, Michael A. Mulhau

Award NASD Dispute Resolution In the Matter of the Arbitration Between: n-f thff Plflfmflnt Pagp NiimhpT' 01-06147 Datek Online Financial Services, LLC of ffrf T^gpnnHf*nt Hpan'nCT SJtfi' Philadelphia, PA John Klein OF APTTITS Claimant, Datek Online Financial Services, LLC ("Datek Online"), hereinafter referred to as "Claimant": Catherine L. Dellecker, Esq., Jones, Bell, Abbott, Fleming & Fitzgerald LLP, Los Angeles, CA. Respondent, John Kle

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06145 Kathleen C. Meitus individually and as Hearing Site: Chicago, Illinois Trustee of the Kathleen C. Meitus Trust dated 9/18/02 Name of the Respondents/Third-Party Claimants RIM Securities and Tod J. Toy Name of the Third- Party Respondent Richard Meitus REPRESENTATION OF PARTIES Claimants Kathleen C. Meitus and the Kathleen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Allen L. Schwartz, Sheila Schwartz, and Steven L. Schwartz Inter-Vivos Trust and Names of Respondents Morgan Stanley Dean Witter, Inc. Tucker Anthony, Inc. Charles R. Federman, and Steven J. Kus Case Number: 01-06142 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Allen L. Schwartz, Sheila Schwartz, and Steven L. Schwartz In

1 JONES, BELL, ABBOTT, FLEMING & FITZGERALD L.L.P. Michael J. Abbott (Cal State Bar No. 53042) 2 Usman S. Mohammed (Cal. State Bar No. 21 5870) 601 South Figueroa Street 3 Twenty-Seventh Floor Los Angeles, California 90017-5759 4 Telephone: (213)485-1555 Facsimile: (213) 689-1004 5 Attorneys for Respondents 6 First Union Securities, Inc. and Nash R. lost 7 BEFORE THE ARBITRATION PANEL OF NASD DISPUTE RESOLUTION, INC. In the m

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Patrick Joyce and Beverly Joyce v. Ralph Johnson a/k/a Chip Johnson, W.J. Gallagher & Co., Inc., Sovereign a/k/a Tuscany Equity Management Corp., Inc. and GunnAllen Financial, Inc. Case Nungber: 99-1079 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimants, Patrick and Beverly Joyce ("the Joyces"), hereinafter collectively referred to as "Claimants": David M. Foster, E