N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jon B. Kraft 95-02454 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Howard A. Tescher, Esq. of the law firm of Kipnis Tescher Lippman Valinsky &. Kain, F»n Lauderdale, Florida. For Respondent: Peter J. Aldricb, Esq. of the law firm of Kelley Aldrich & Warren. P. A., West Palm Beach, Florida. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sally Cassell, Davina Zucherman, The Sally Cassell Survivors Trust, and The Davina Zucherman Living Trust, Claimants v. First Union Securities, Inc. and Wedbush Morgan Securities, Inc., Respondents Wedbush Morgan Securities, Inc., Counter-Claimant v. Davina Zucherman and The Davina Zucherman Living Trust, Counter-Respondents Case Number: 01-05629 Hearing Site: Los Angeles, Californi

NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Annetta T. Weiss TTEE FBO Annetta T. Weiss Revocable Trust Names nf the Respondents Voss and Co., Inc., Richard P. Schulze and Stephen C. Voss r 01-05627 Hearing Site: Washington, D.C. ftFPRFSF.NTATTON OF PARTIES Claimant, Annetta T. Weiss TTEE FBO Annetta T. Weiss Revocable Trust, hereinafter referred to as "Claimant", was represented by Stuart D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of trm Claimant Steven M. Vitale Name nf the-. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph M. Fitzpatrick, and David B. Snyder Case Number- 01-05618 Hearing Sitg; Houston, Texas OF Claimant, Steven M. Vitale, hereinafter referred to as "Claimant" was represented by William S. Shepherd, Esq. and Christopher J. Rebel, Esq. of Shepherd, Smit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sue A. Freeman, Claimant Vs. Case Number: 01-05616 Morgan Stanley DW, Inc., Respondent. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Donald J. Mehan, Jr., Esquire, of Moline, Shostak & Mehan, LLC, St. Louis, Missouri, represented Claimant Sue A. Freeman ("Claimant"). Christine Kendrick, Esquire, of Morgan Stanley DW, Inc., San Francisco, California,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Douglas P. Dion and Joyce L. Dion V. 01-05615 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Bradley S. Harvey andL. Scott Wilson REPRESENTATION OF PARTIES Douglas P. Dion and Joyce L. Dion ("Claimants") were represented by Otto K. Hilbert n, Esq., of Robinson, Waters & O'Dorisio, P.C., Denver, Colorado. Merrill Lynch Pierce F

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Namff nfriflimant Mario T. Scaduto v. Name of Respondents Charles Schwab & Company and Brian Keith Owen Arbitration No. 98-02222 For Claimant: REPRESENTA'nON Jerome Olitt, Esq. Arbitration and Mediation Specialists Stamford, Connecticut For Respondents: Gilbert R. Scrota Howard, Rice, Nemerovski, Canady, Falk & Rabkin San Francisco, Califo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. in the Matter of the Arbitration Between Merrill Lynch. Pierce, Fenner & Smith, Inc., Claimant, V. No. 95-02762 William G.Evans, Respondent. REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner &, Smith, Inc. ("Claimant") was represented by Kenneth Spicll'ogel. Esq., of Merrill Lynch. Pierce, Fenner & Smith, Inc. New York, New York. William G. Evans ("Respondent") failed to appear

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Zona Lint and 01-05614 Forest Securities, Inc. Katherine Anne Thieleke REPRESENTATION OF PARTIES Zona Lint ("Claimant") was represented by John D. Hudson, Esq., Williams, Blackburn, Hudson & Maharry, P.L.C., Des Moines, Iowa. Forest Securities, Inc. and Katherine Anne Thieleke a/k/a Kay Thieleke ("Respondents") were represented by Kay Thieleke, Foret Secu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephanie L. Ziems, (Claimant) vs. Citigroup, Inc., Citicorp, Citibank, N.A., and Citicorp Investment Services, Inc., (Respondents) Case Number: 00-01463 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stephanie L. Ziems, hereinafter referred to as "Claimant": Rachel K. Gibbons, Esq., a sole practitioner, Port Washington, NY. Respondents, Citigroup, In