NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05420 UBS/Paine Webber, Inc., claimant vs. Fred Wiggins, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: October 12, 2001 CASE SUMMARY: Claimant alleged that respondent deposited a check into his account that was returned and marked "insufficient funds" which created a debit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * Broadband Capital Management, LLC, as assignee of Rapco, LLC, and Rapco, LLC (Claimants) v. Oscar Gruss & Son, Inc., Michael Shaoul, Michael Rosen, Frank Davis and Emanuel Gruss (Respondents) v. Rapco Holding Company, LLC and Michael D. Rapp Case Number: 01-05419 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member v. Member and Associated Persons v. Non-

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sofia Tiuman, and Eric Tiuman (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Luchan Ong (Claimants) Case Number: 01-05418 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Sofia Tiuman ("S. Tiuman") and Eric Tiuman ("E. Tiuman") hereinafter collectively referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul R. Pomeroy v. Louis Montaino, Morgan Grant Capital Corp. and Vladimir Carvailo. Case Number: 00-01446 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Paul R. Pomeroy t hereinafter referred to as "Claimant": Jack J. Mazzara, Esq., Egan & Mazzara, Troy, Michigan. Claimant appeared pro se until Mr. Mazzara's appearance on or about January 1

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: East/West Securities Co., Claimant vs. Tom B. Soohoo, Respondent. Case Number: 98-04666 Hearing Site: San Francisco, Cahfomia OF PARTIES Claimant, East/West Securities Co., hereinafter referred to as "Claimant": Leslie U. Harris, East/West Securities Co., San Francisco, California Respondent, Tom B. Soohoo, hereinafter referred to as "Respondent*': Tom B. Soohoo, San Francisco, Cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arintration Between: Richard John Jensen, Successor Trustee for the Roy D. and Gloria A. Jensen Family Trust DTD 9/19/84. Claimant vs. Financial Network Investment Corporation and John L. Brackett, Respondents. Case Number. 95-00239 Clearing Site: San Francisco. California RRPRESENT ATInN Off PARTIFJS Claimant, Richard John Jensen, Successor Trustee for the Roy D. and Gloria A. Jensen Family Tn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05411 Angella Post, Claimant vs. Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant, Angella Post, ("Claimant"), appeared, Adam S. Doner, Esq., of the firm Gordon & Doner, P.A., Palm Beach Gardens, FL. Respondent, Salomon Smith Barney, Inc., ("Respondent"), appeared through its in-house counsel, Nicole Felton, Esq., New York, NY. DATE FILED: October 12, 2001 CASE S

Award NASD Dispute Resolution In Ihe Matter of ihe Arbitration Between: JohnR-Plohetski PocfP Mnmh^- 04-06520 tile: Dallas, Texas A.G. Edwards & Sons, Inc. Public Customer v. Member Firm Claimant John R. Plohetski, hereinafter referred to as "Claimam":- Robert L. Wright, Esq., of Robert L. Wright, P.C, locatcd.in Ft. Worth, Texas. Respondent A.G. Edwards & Sons, Inc., hereinafter referred to as "Respondent": Matthew R. Salamon, Esq., of A.G. Edwa

N.A.S.D. AHAPD rwnONAt, ASSOdATZGN OF SSCURITIES DEALERS In the Matter of the Arbitration Betuem William B. Potts 89-03495 Integrated ResourceB Hark J. Snydec Claimant allegBd thact, after advising Raspondonts that he only wanted to invest in securities with no risk to prinlcipie and vdth liquidity, tha Respondants placed him in hi^ riskr ncn-liciuid inveetannts. ClaiaBnt further allegad that ha never reoalved a pcciSfcWJLua Gn thaee aecurlties.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05410 UBS/PaineWebber, Inc., claimant vs. John Yates, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: October 12, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on the balance of a promissory note. Claim Data Award Data Claim: $11,001.