Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Case Number: 03-02562 Robert and Alina Quintana JT TEN Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert and Alina Quintana JT TEN ("Quintanas"), hereinafter referred to as "Claimants": Wayne Schwartz, Esq., Blum, Silver & Schwartz, LLP, Plant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William J.Klopf Sybil G. Klopf William J. Klopf, custodian for Kevin M. Klopf William J. Klopf, custodian for Jonathan L. Klopf Names of the Respondents UBS PaineWebber, Inc. as successor in interest to PaineWebber, Inc. David L. Eustis, Jr. Case Number: 03-02558 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02557 Avinash and Poornima Gupta Name of the Respondent Hearing Site: Tampa, Florida J.P. Morgan Invest, LLC f/k/a Brown & Company Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Avinash and Poornima Gupta, hereinafter referred to as "Claimant": Jerry I. Lefkowitz, Esq., Lake Success, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant CISC World Markets Corp. and Case Number: 03-02556 Hearing Site: Houston, Texas Name of Respondent Leo V. Reichle MATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES CIBC World Markets Corp. ("Claimant") was represented by Joseph J. Sullivan, Esq., of Sheindlin & Sullivan, LLP. He replaced Karen E. Byrnes, Esq., as Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marc Desbans, Individually and as Co-Trustee of the Desbans Family Trust Dated 4/5/01, and Judith Desbans, Individually and as Co-Trustee of the Desbans Family Trust Dated 4/5/01, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc. and John R. Heinze, Respondents i Case Number: 03-02554 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 00-04503 Frank A. Morris Names of the Respondents Hearing Site: Tampa, Florida Morris Thomas Hudson Jonathan Stern Raymond James & Associates, Inc. REPRESENTATION OF PARTIES Frank A. Morris, hereinafter referred to as "Claimant", appeared pro se. For Respondents Morris Thomas Hudson ("Hudson") and Raymond James & Associates, Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Muney, Barbara Muney TTEE of the Samuel T. Borenstein MRL Trust, Lester Borenstein TTEE of the Samuel T. Borenstein MRL Trust, and Martin Borenstein TTEE of the Samuel T. Borenstein MRL Trust (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Thomas Edward McCarrick (Respondents) Case Number: 03-02546 Hearing Site: New York, New York Nature of D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02545 Fahnestock & Co., Inc., Claimant v. Stanley Plachinski, Respondent ATTORNEYS: Claimant, Fahnestock & Co., Inc.> ("Gaijnant"), appeared through their in-house counsel, Evelyn Bukchin, Esq., New York, NY, Respondent, Stanley Plachinski, ("Respondent"), appeared pro se, New ybrk, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 7, 2003 CASE SUMMARY: Claimant al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathy L. Kessel and Kathy L. Kessel IRA (Claimants) v. Wachovia Securities, LLC., and Michael A. Ewanouski (Respondents) Case Number: 03-02543 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Kathy L. Kessel ("Kessel") and Kathy L. Kessel IRA ("Kessel IRA") hereinafter collectively referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joel and Nancy Walker, Joel Walker IRA, and Nancy Walker IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Byron Boots (Respondents) Case Number: 03-02539 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joel and Nancy Walker ("Walkers"), Joel Walker IRA ("J. Walker IRA"), and