Award NASD Dispute Resolution In the Matter of die Arbitration Between: Name of the Claimant Case Number: 02-07268 Albert E. Warner m Name of the Respondent Hearing Site: Tampa, Florida Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Albert E. Warner HI, hereinafter referred to as "Claimant", appeared pro se. For Charles Schwab & Company, Inc. ("Schwab 11 )} hereinafter referred to as "Respondent": Garrett R. Wynne, Corporate Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07266 Kimberly Eason Rozycki, and Carol K. Eason Names of the Respondents , Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc., Jack Grugin, and Jon Davidson REPRESENTATION OF PARTIES For Kimberly Eason Rozycki, and Carol K. Eason, hereinafter collectively referred to as "Claimants": James C. Clark, Esq. and Nick A.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Tristan Ishtar Bre-Elle Ishtar Names of the Respondents Morgan Stanley DW, Inc. Theodore Vaughan Steve Schelling John Slack Customers v. Member and Associated Persons Case Number: 02-07264 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Tristan Ishtar and Bre-Elle Ishtar, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07262 Linda Selden, Linda Selden Roth IRA, Linda Selden Rollover IRA and Linda Selden IRRA Names of the Respondents Hearing Site: Boca Raton, Florida Merri]! Lynch, Pierce, Fenner & Smith, Inc. and A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Selden, Linda Selden Roth IR

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nationwide Investment Services Corp. Case No. 00-04213 Name of Respondent Lawrence Morris Rothermel Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Nationwide Investment Services Corp. ("Nationwide"), hereinafter referred to as "Claimant": Robert P. Riordan, Esq. and Lisa M. Durham, Esq. of Alston & Bird, LLP, Atlanta, Georgia.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07246 Alvin L. Starks Name of the Respondent Hearing Site: Orlando, Florida Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Alvin L. Starks, referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, Florida. For Prudential Securities Inco

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07244 UBS Paine Webber, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Sean Miller REPRESENTATION OF PARTIES For UBS Paine Webber, Inc. (UBSPW), hereinafter referred to as "Claimant": Randi Spallina, Esq., Davidson, Manchel, & Brennan, LLP, Northvale, New Jersey. Respondent Sean Miller appeared pro se. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Ross (Claimant) v. David Lerner Associates, Inc. and Douglas Roy Albert (Respondents) Case Number: 02-07235 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Henry Ross ("Ross") hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Adler & Hyman, LLP, East Meadow, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brenda Ross, Claimant v. Crown Capital Securities, L.P. and Donald Traywick, Respondents Case Number: 02-07222 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William S. Bonnheim, Esq. Anderholt Bonnheim & Casden LLP Palm Desert, California For Respondents: Craig R. Bockman, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Space Spinoffs, Inc. and Lawrence H. Kuznetz and Names of Respondents UBS Financial Services, Inc. John V. D'Oliver Case Number: 02-07221 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Space Spinoffs, Inc. and Lawrence H. Kuznetz ("Claimants") were represented by Angela