Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beverly Loew (Claimant) v. Porter Bibb, Walter Dostmann, Barbara Kolb, Joseph I. Kolb, Joseph Bagnall, Global Direct Financial Services, LLC, Global Direct Securities Services Holding, Inc. Case Number: 01-05936 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Beverly Loew, hereinafter referred to as "Claimant": Mark Platt, Esq., Kornstein Veisz Wexler & Poll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Allin and Joarm E. Allin, Claimants v. Morgan Stanley Dean Witter, Inc. and Dean A. Spagnoli, Respondents Case Number: 01-05928 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants: Gerald S. Clay, Esq. Stanton Clay Chapman Crumpton & Iwamura Honolulu, Hawaii For Respondents: Paul D. Allen, Esq. Morgan Stanley DW Inc. San Francisco, Califo

Award NASD Dispute Resolution in Uie Matter 01 tne Arbitration between: Name of the Claimant Case Number: 01-05924 Reynaldo A. Martinez Names of the Respondents Hearing Site: Boca Raton, Florida Northridge Capital Corp. Michael Weiner Sam Schtayner REPRESENTATION OF PARTIES Claimant Reynaldo A. Martinez ("Martinez") appeared pro se. Respondents Northridge Capital Corp. ("NCC"), Michael Weiner ("Weiner") and Sam Schtayner ("Schtayner") di

Award NASD In the Matter of the Arbitration Between: Name of Claimant Marc and Marita Young Names of Respondents Prudential Securities, Inc. Jeffrey M. Winston Case Number: 01-05916 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Marc and Marita Young ("Claimant"): Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orlando, Florida. For Prudential Securities ("Prudential") and Jeffrey M. Winston ("Winston

11/13/02 WED 11:37 FAX NASD REGULATION 0002 Award NASD Dispute Resolution, Inc* In the Matter of the Arbitration Between: ey/if the Hai'martta Pa^ Number! 01-05914 Jose Carlos De Luna Valenzuela, Juan Medrano, and Lauraueo Maximo, ft f\f fhe RespnnHftntg "HeRri-ng^ifry HOUStQn, Texas WM Financial Services, (tfk/a Washington Mutual/Bank United) and Alonzo M. Martinez Claimants, Jose Carlos De Luna Valenzuela, (Valenzuela) Juaa Medrano, (Medra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney Aurbach (Claimant) v. Gruntal & Co., LLC and Marc B. Karp (Respondents) Case Number: 01-05906 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sidney Aurbach ("Aurbach") hereinafter referred to as "Claimant": Martin J. Siegel, Esq., New York, NY. Respondent Gruntal & Co., LLC ("Gruntal")

NASD Dispute Resolution Arbitration No. 02-02674 Award Pace 1 of 7 Award NASD Dispute Resolution [n the Matter of the Arbitration Between: First Union Securities, Inc. n/k/a Wachovia Securities. Inc., (Claimant) v. Michael D. DcRosa, (Respondent) Case Number: 02-02674 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc. n/k/a Wachovia Seciuities, Inc., hereinafter referred to as ''Claimant": John

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher H. Sands, (Claimant) vs. Adams, Harkness & Hill, Inc., (Respondent) Case Number: 01-05904 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Christopher H. Sands, hereinafter referred to as "Claimant": James B. Conroy, Esq., Donnelly, Conroy & Gelhaar, LLP, Boston, MA. Respondent, Adams, Harkness & Hill, Inc., hereinafter referred to as "Respondent"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles S. Cohen and Linda R. Cohen F p< : p n n'1 p nt CI Hiring ^it p ' Philadelphia, PA UBS Financial Services Inc., f/k/a UBS PaineWebber, Inc. Bennett S. Broad RF.yPF.Sf. NTf ATTOfsT OF Claimants, Charles S. Cohen and Linda R. Cohen, hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guiliano, Esq., At

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Archibald Montgomery and Barbara Montgomery, both individually and as Trustees of the Archibald Montgomery Trust and the Barbara Montgomery Living Trust, Chrom Services, Inc, Arthur B. McWood, Dean S. Skillman, Dean S, Skillman, Jr., Jeffrey B. Skillman, B&A Trading Co., the Skillman Family Reunion Fund, Inc., Corporate Brewing Company, and Karen Mu