AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brian Douglas Pauley and 02-7815 Chicago, Illinois Name of Respondents Wachovia Securities Inc. and American Funds Distributors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Brian Douglas Pauley ("Claimant"), located in Winnebago, Illinois was pro se. American Funds Distributors, Inc. ("American"), located in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cecelia Randall vs. 02-07812 Omaha, Nebraska Names of Respondents U.S. Bancorp Piper Jaffray, Inc., Michael S. Wetrich and Michael D. Cole NATURE OF DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Cecelia Randall ("Claimant") was represented by Thomas W. Clayton, Esq., of Sioux Falls, South Dakota. U.S. Ba

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Jeffrey Salverian Names nf the Respondents Morgan Stanley DW Inc. and Francis J. Ciabattoni Case Number- 02-07811 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTIES Claimant, Jeffrey Salverian ("Salverian"), hereinafter referred to as "Claimant", was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07809 Marshall R. Lustig, Claimant vs. Merrill Lynch, Pierce, Fenner and Smith, Inc., and Michael Kelly, Respondents. ATTORNEYS: Claimant, Marshall R. Lustig, ("Claimant") appeared pro se., Dallas, TX. Respondents, Merrill Lynch, Pierce, Fenner and Smith, Inc., and Michael Kelly, (collectively "Respondents"), appeared through their in-house counsel, Yosef Sinensky, Esq., New York, NY. DA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Steven L. Morand and Gig Klein Morand (Claimants) v. First Montauk Securities Corp., Montauk Financial Group, Robert L Rabinowitz, Michael Strasser, and Scott Flynn (Respondents) Case Number: 02-07808 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants Dr. Steven L. Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley D. Simon and Adam F. Simon, Claimants v. Marshall J. Field, The Heritage Group, Inc., Marshall J. Field & Co., Inc., Passport Securities, Inc., and American National Municipal Corporation, Respondents Case Number: 02-07804 Hearing Site: Los Angeles, California Nature of the Dispute; Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adolf Miralles and Maria Miralles, Claimants v. Trusted Securities Advisors Corp. and David Abernethy, Respondents Case Number: 02-07802 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Studio City, California For Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between f Claimant Alexis D. Russell Case No. 00-04284 Prudential Securities, Inc. Scott A. Cohen ing Site- Washington, D.C. OF PAPTTVS Claimant, Alexis D. Russell ("Russell") referred to as "Claimant": John P. Connolly, Esq. and Ford C. Ladd, Esq., Law Offices of John P. Connolly, Alexandria, VA. Respondents, Prudential Securities, Inc. ("Prudential") and Scott A. Cohe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Rahim Amir Mamori and Betty Lou Mamori Case Number: 02-07797 Names of the Respondents: Hearing Site: Houston, Texas UBS Financial Services, Inc., Ali Fahr, and Ahmad Fakhr NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES: Rahim Amir Mamori and Betty Lou Mamori ("Claimants") were represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Frederick J. Shaheen and Joann P. Shaheen and Respondents Robert Dekker, Metro Financial Group, Inc., Questar Capital Corp., and Mutual Service Corp. Case Number: 02-07796 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Associated Person, Non-Member and Members REPRESENTATION OF PARTIES Frederick J. Shaheen and Joann P. Shaheen