Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07511 Gary J. and Carol Anderson Name of the Respondents Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj MATURE OF DISPUTE Public Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Gary J. and Carol Anderson, hereinafter referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants William H. and Deborah C. Lampe Names of Respondents Stonebriar Securities, Inc. Matthew James Fitzgibbon Todd Edward Sanders Juan Carlos Fernandez Case No. 00-04227 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For William H. and Deborah C. Lampe, hereinafter collectively referred to as "Claimants": William H. Lampe. Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07510 Kevin F. and Dariene K. Jursinski JTWROS Kevin F. Jursinski Kara M. Jursinski UTMA/FL Jamie Jursinski UIMA/FL Lauren B. Jursinski IHMA/FL KC Sports Management, Inc. Dariene K. Jursinski Kevin F. Jursinski, P.A., SEP Name of the Respondent Hearing Site: Tampa, Florida Prudential Securities, Incorporated Nature of th

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Arlene Zwickel, Irving Zwickel, Arlene Zwickel IRA and Irving Zwickel IRA Names of the Respondents Morgan Stanley Dean Witter, Ron Katz and Christopher Damante Case Number: 02-07508 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arlene Zwickel,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07506 Jayanta Dey Janqt H. Dey Names of the Respondents Hearing Site: Tampa, Florida Prudential Securities, Inc. Richard Charles Karoll Douglas Eric Haas Joseph Karl Huenke Thomas M. Quinn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For'Jayanta Dey and Janet H. D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louise Considine, Claimant v. UBS/PaineWebber, Inc. n/k/a/ UBS Financial Services, Inc., Steven V. Arrigo, William R. Spruston, and Lawrence E. Smith, Respondents Case Number: 02-07505 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant Louise Considine: Geraldine Darrow, Esq. Kenn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emma H. Pendergrass and Emma H. Pendergrass IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth Lee Douglas Irvin, Respondents Case Number: 02-07504 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer Eme

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald B. Hanovice, Cathryn B. Hanovice, Trustees FBO Ronald B. Hanovice, Defined Contribution Pension Plan and Trust dated 01/01/87, Ronald B. Hanovice ACF Rebecca L. Hanovice, UINY/UTMA, Cathryn B. Hanovice ACF Nicholas Hanovice UINY/UTMA, ACF Gordon B. Hanovice, UINY/UTMA Ronald B. Hanovice, SSB IRA Custodian, Ronald B. Hanovice, and Cathryn B. Hanovice (Claimants) v. Citi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07496 Prospera Financial Services, Inc., claimant vs. Tim Calaway, respondent. ATTORNEYS: For Claimant appeared in-house counsel John Stein, Dallas TX. Respondent did not respond to the Statement of Claim. DATE FILED: December 12, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of his Employment Agreement. Claimant maintained that bec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thft riaimants Gas? Number: 02-07495 Julie Balvin and Marvin Balvin flTing tSite- Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj NATTHRF OP njSPTTTT? Public Customers v. Member Firm and Associated Persons FF-1P1RFSFN n Claimants Julie Balvin and Marvin Balvin, hereinafter collectively referred to as "Claimants"