NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01010 UBS PaineWebber, Inc, Claimant vs. Matthew Campbell and Alice Campbell, Respondents. ATTORNEYS: For Claimant, UBS PaineWebber, Inc., ("Claimant") appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondents, Matthew Campbell and Alice Campbell (collectively "Respondents"), did not submit an answer to the Statement of Claim. DATE FILED: February 11, 2003 CASE SUMMARY: Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01009 The Ganek Family Revocable Trust, Lawrence Ganek, Trustee, Claimant v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimant The Ganek Family Revocable Trust ("Claimant") appeared James M. McGuire, Esq., of the firm Roshka Heyman & DeWulf, PLC, Phoenix, AZ. For Respondent Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01008 John W. Ruddy Jr., Claimant vs. Metropolitan Life Insurance Company and Chase Mellon Investor Services, Respondents. ATTORNEYS: Claimant, John W. Ruddy Jr. appeared pro se., Palm Harbor, FL. For Respondent, Metropolitan Life Insurance Company, appeared in-house counsel Duncan J. Logan, Esq., New York, NY. For Respondent, Chase Mellon Investor Services, appeared Gerald L. Popovsky,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Scott P. Gabriele and 03-01004 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. James S. Casey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Scott P. Gabriele ("Claimant") was represented by John C. Doyle, Esq., Doyle * Mensing P.C., Scottsdale, Arizona. Morgan Stanley DW Inc. ("Responde

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald L. Wence and Shirley A. Wence and 03-01002 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Raj K. Kohli Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ronald L. Wence and Shirley A. Wence ("Claimants") were represented by Bruce R. Heurlin, Esq., Karp Heur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01000 Anthony S. Constantinou, Kathleen N. Constantinou and Norman S. Palazini Name of the Respondent Hearing Site: Tampa, Florida A. Ch. Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Anthony S. Constantinou (A. Constantinou), Kathleen N. Constantinou (K. Constantinou) and Norman S. Palaz

03/11/03 MON 09:33 FAX NASD REGULATION E1002 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter Respondent Case Number: 03-00994 William Blair & Company, LLC Name of the Respondents/Counter Claimants Hearing Site: Chicago, Illinois James L Arado, Robert C. Bridges, Thomas S* Bridges, John P. Huber, Mortimer G. Huber, Richard S. Kaplan, and Geneva Investment Management REPRESENTATION QF PARTIE

NASD Dispute Resolution, Inc. Arbitration No. 00-04403 Award Page 1 STIPULATED AWARD NASD Dispute Resolution Inc, In the Matter of the Arbitration Between Name of Claimant DEAN WITTER REYNOLDS, INC. (now known as MORGAN STANLEY DW, INC.) Name of Respondent JUSTIN W. HERMAN NASD ARBITRATION CASE NO. 00-04403 REPRESENTATION OF PARTIES Claimant Dean Witter Reynolds, Inc. (now known as Morgan Stanley DW, Inc, ("Claimant") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul DeMarco (Claimant) v. Nomura Securities International, Inc. (Respondent) Case Number: 03-00990 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul DeMarco ("DeMarco") hereinafter referred t$ as "Claimant": Peter C. Lucas, Esq., Lucas & McGoughran, LLC, Oakhurst, NJ. Respondent Nomura Securities Intern

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 03-00989 Joan demons, Individually And as Executrix of the Estate of Mildred Petro Names of the Respondents Hearing Site: Pittsburgh, PA Citigroup Global Markets, Inc. 17n/a Salomon Smith Barney, Inc. and Joseph Procopio Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant,