Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leslie S. Radwany, Jr., Revocable Trust, U/A, Dated February 4,1997, Claimant Vs. Case Number: 00-04455 Rise, Inc., Berndt & Associates, Inc., Frederick Edward Berndt, and Frederick Carl Berndt Respondents. Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Leslie S. Radwany, Jr., Revocable Trust, U/A, Dated February 4, 1997 ("Radwany"), w

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01331 Joy L. Beaton Beaton and Company International Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. T. Michael Pentecost Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joy L. Beaton and Beaton and Company International, hereinafter collectivel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Richard Wittwer, both individually and on behalf of the J. Richard Wittwer IRA and Hazel Wittwer, both individually and on behalf of the Hazel Witter IRA, Claimants v. RBC Dain Rauscher f/k/a Sutro & Co., Respondent Case Number: 03-01315 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Christopher L. Tho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Adam Verrillo (Claimant) v. Morgan Stanley DW, Inc. and Michael DiGeronimo (Respondents) Case Number: 03-01314 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant The Estate of Adam Verrillo ("Verrillo") hereinafter referred to as "Claimant": Andrew Giles Freda, Esq., Edwards & Caldwel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: .nf ffrf ffcimants Ca5gJ^lJm h * r ' 03-01303 Pruco Securities Corporation and The Prudential Insurance Company of America _nf thf.RpsprmHgntQ Hearing=Siis: Milwaukee, Wisconsin Paul T. Tourville, Peter Tourville, Brent Landowski, John Jonas and Brian Peterson Claimants Pruco Seburities Corporation ("PSC") and The Prudential Insurance Company of America (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pedro Jimenez, Sr. Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Willi am F. Dodge Lisa Kaye Howard Guggenheim Paul J. Abrams Case Number: 03-01301 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpe of the Claimant Samuel Karavan Names nf the Respondents Janney Montgomery Scott, LLC Will Tickner William Schmidt Ryan Tickner Number- 03-01300 Hearing Sifo: Philadelphia, PA Nature of the Dispute: Customer v. Member and Associated Persons, RRPRF.SKNTATION OF PARTIES Claimant, Samuel Karavan, hereinafter referred to as "Claimant'Ywas represented by Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester N. Himel and Maxcor Financial Inc., (Claimants) vs. Creditex, Inc., (Respondent) Case Number: 03-01296 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lester N. Himel ("Himel") and Maxcor Financial Inc. ("Maxcor"), hereinafter collectively referred to as "Claimants": Simon Miller, Esq., Greenberg Traurig, LLP, New York, NY. Respondent, Creditex, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01292 UBS PaineWebber Inc., n/k/a UBS Financial Services Inc., Claimant vs. Jonathon Stanley, Respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq. of the Law Offices of Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: February 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed to repay mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony Catapano (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 03-01288 Hearing Site: New York, New York Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Anthony Catapano ("Catapano"): Richard J. Babnick Jr., Esq., Sichenzia Ross Friedman, Ference, LLP, New York, NY Respondent, Charles Schwab & Co., ("Schwab"): Brandon K. Hemley, E