AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Chayn Mousa and Case Number: 02-07096 Hearing Site: Houston, Texas Names of Respondents Wachovia Securities, LLC, First Clearing Corporation, SWS Securities, Inc., and Roderick G. Chisholm, III NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Chayn Mousa ("Claimant") was represented by Clayton C. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley J. Smith (Claimant) v. James A. Hawyrliak (Respondent) Case Number: 02-07094 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Associated Person. REPRESENTATION OF PARTIES Claimant Shirley J. Smith ("Smith") hereinafter referred to as "Claimant": Great K. Kolcon, Esq., Woods Oviatt Oilman, LLP, Rochester, NY. Respondent James A. Hawyrliak ("Hawyrliak") h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07092 UBS PaineWebber Inc., Claimant vs. Daniel J. Masucci, Respondent. ATTORNEYS: For Claimant, UBS PaineWebber, Inc., ("Claimant") appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Daniel J. Masucci, ("Respondent") appeared pro. se., Sparks, MD. DATE FILED: November 22, 2002 CASE SUMMARY: Claimant alleged that Respondent failed to repay a draw deficit left in his ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07091 UBS Financial Services Inc., f/k/a UBS PaineWebber Inc., (Claimant) vs. Quinn P. Martin, (Respondent) ATTORNEYS: For Claimant appeared Mark A. Rosen, Esq., of the firm Davidson & Grannum, LLP, Boston, MA. Respondent appeared pro se, Baton Rouge, LA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 19, 2002 CASE SUMMARY: Claimant alleged that Respondent br

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnme of nV Claimants Case Number 02-07090 Christopher Hidalgo IRA and Christopher Hidalgo as Custodian of the account of Paul C. Hidalgo, UGMA Nnme of nV Respondent Hearing Site- Baltimore, MD Morgan Keegan & Company, Inc. and John Edward Miller m Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Christopher Hidalgo IR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The John F. Bright Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Angela K. Adler and Stephen B. Smith, Respondents Case Number: 02-07085 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Sacramento, California For Respondents: Edw

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William A, Madison Revocable Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter D. Brooker Case Number: 02-07082 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For William A. Madison Revocable Trust, referred to as ''Claimant": Austin N. Aaronson, Esq., Aaronson, Austin, P.A., Winter Park, Florid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04177 Whale Securities Co., L.P. n/k/a Bluestone Capital Corp., claimant vs. John A. Whitsel and Mahendra Shah, respondents. ATTORNEYS: For Claimant appeared David S. Richan, Esq. of the firm Blank Rome Tenzer Greenblatt, LLP Respondent John A. Whitsel appeared Pro Se, New York, NY. Respondent Mahendra Shah did not respond to the Statement of Claim, DATE FILED: September 22, 2000

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Keith E. Dyas and the Dyas Revocable Trust, Keith and Sally Dyas TTEE v 02-07079 Denver, Colorado Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Arthur H. Harter, ffi and Smith Barney Portfolio Management Group Nature of Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTI

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Michael L. Bernard Bernard Assets, LLC Kristen L. Bernard Casey M. Bernard Ryan E. Bernard Pamela Bernard Dennis Humphrey Micah Lee Bernard > Stephen A. Bernard and 02-07077 Louisville, Kentucky Name of Respondents Prudential Equity Group, LLC f7k/a Prudential Securities Incorporated ' J. Lemoine Patty Nature of the Disput