NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Grande Industry, Inc., (Claimant) vs. The Agean Group, Inc., Benjamin Phillip Leifer, and Barry Chaskes, (Respondents) vs. Semos Kostidakis (Third-Party Respondent) Case Number; 00-01441 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Grande Industry, Inc., hereinafter referred to as "Claimant": Marc J. Ross, Esq., Sichenzia, Ross & Friedman LLP, New York, NY. R

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-05383 Richard K. Williams Names of the Respondents Douglas Haas Hearing Site: Tampa, Florida Alex Muscati TodDrury Elaine Vaughn Robert MacDonald Michael McLaughlin DaLean Rials Prudential Securities, Inc. REPRESENTATION OF PARTIES For Richard K. Williams, hereinafter referred to as "Claimant": Peter Lloyd appeared as his represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: A.G. Edwards & Sons, Inc. 01-05378 Name of Respondent Hearing Site: Coastal Marine, Inc. New Orleans, LA REPRESENTATION OF PARTIES For A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Nuviah Shirazi, Esq., Litigation Counsel, A.G. Edwards & Sons, Inc., St, Louis, MO. For Coastal Marine, Inc., hereinafter referred to as "Responde

ARBITRATION AWARD NASD In the Matter of the Arbitration Between Name of Claimant Patricia Eileen Webster Case No. vs. 01-05377 Names of Respondents Leonard Seawell and Morgan Keegan & Company, Inc. REPRESENTATION OF PARTIES Patricia Eileen Webster, hereinafter referred to as "Claimant", appeared pro se. For Leonard H. Seawell ("Seawell") and Morgan Keegan & Company, Inc. ("Morgan Keegan"): Rebecca C. Davis, Esq. of Tate, Lazarini

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-05375 Johhy W. Hanks, Individually and on behalf of his IRA Name of the Respondent Hearing Site: Houston, Texas A.G. Edwards & Sons, Inc. and Carolyn F. Amerman REPRESENTATION OF PARTIES Claimants Johny W. Hanks hereinafter referred to as "Claimant": Sam Edwards, Esq. of the firm of Shephard, Smith & Bebel, P.C. located in Houston, Tex

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger J. Schwartz, (Claimant) vs. SG Cowen Securities Corp., (Respondent) Case Number: 01-05997 Hearing Site: Boston, Massachusetts Claimant, Roger J. Schwartz, hereinafter referred to as "Claimant", appeared pro se. Respondent, SG Cowen Securities Corp., hereinafter referred to as "Respondent": Gerri Harris, Esq., Vice President and Counsel, SG Cowen Securities Corporation, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andres B. Saldana IRA Rollover, Claimant v. Morgan Stanley DW, Inc. and Isidro Z. Miramontes, Respondents Case Number: 01-05993 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California Edward Kim, Esq. Srraling Yocca Carlson & Rauth

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marcia Davis Names of the Respondents Nathan and Lewis Securities, Inc. Harlan Fischer Case Number: 01-05987 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Marcia Davis ("Davis"), hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum P.A., Plantation, Florida. For Nathan and Lew

Award NASD Dispute Resolution, Inc. In the Matter of the Aibitration Between Mom^nfriainrmnt Billy West Case No. 99-05360 Gtegoiy L. Luken; Wiley Bros-Aintree Capital, ILC ppOTirw^rrATTnm nv PAHTnrg Claimant Billy West ("West**) was represented by Nader Baydoun, Esq. and Stephen Knight, Esq. of Baydoun & Reese, P.A., located in Nashville, Tennessee. Respondents Wiley Bros-Aintice Capital, LLC C*Wiley Bros**) and Gregory L. Luken ("Luken")

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the Claimant Case Number- 01-05986 David Alperin Name nf the Respondent Hearing Site- Philadelphia, PA Dreyfus Brokerage Services, Inc. Nature of the Dispute: Customer v. Terminated Member. REPRESENTATION OFPARTTF.S Claimant, David Alperin, hereinafter referred to as "Claimant", was represented by Glenn A. Weiner, Esq., Klehr, Harrison, Harvey, Branzburg and Ellers,