NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07074 UBS Painewebber, Inc., claimant vs. Rochelle Snelson-Simpkins, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 21, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the balance on her Platinum Master-Card Debit Card for the rental of a car. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07072 Milestone Financial Services, Inc., Claimant vs. John V. Prinzivalli, Respondent. ATTORNEYS: For Claimant, Milestone Financial Services, Inc., ("Claimant") appeared J. Christopher Albanese, Esq. of American Capital Partners, LLC, Hauppauge, NY. Respondent, John V, Prinzivalli, ("Respondent") appeared pro se., Smithtown, NY. DATE FILED: November 21, 2002 CASE SUMMARY: Claimant alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Erna M. Williams, Carole LaRowe, Executrix (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Joseph G. Blanes, Steven W. Torrico, and Michele Crawford for the Estate of Robert Crawford (Respondents) Case Number: 02-07067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons. REPRESEN

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07062 Jerlyn Goldfarb Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Robert Caro Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerlyn Goldfarb ("Goldfarb"), hereinafter referred to as "Claimant": Randall W. Henley, Esq., Randall W. Henl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07061 C. Charles Custer Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Michael Gomberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For C. Charles Custer, hereinafter referred to as "Claimant": Darren C. Blum, Esq. and Scott L. Silver, Esq., Bl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of the Claimant William B. McCranie Names of the Respondents UBS Financial Services, Inc. j(f/k/a UBS PaineWebber, Inc.) Janney Montgomery Scott, LLC Michael Gomberg Case Number: 02-07060 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES , *,,-,,*..* For William B. McCra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07056 Margaret F. Moore as Trustee of The Margaret F. Moore Revocable Trust Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Thomas M. Pentecost Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret F. Moore as Trustee of the Margaret F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf flip Tlai'mant Pa-^ Number 02-07048 Douglas Combs as Trustee for the Douglas Combs IRA Name nf the Respondents Hearing Sfrer Baltimore, Maryland Joseph Karsner Joe Karsner & Associates Legacy Financial Services, Inc. Nature of the Dispute: Customer vs. Associated Person, Member and Non-Member. KFPKF.SRMTATTON OFPARTTF.S Claimant, Douglas Combs as Trustee for

1 NASD Dispute Resolution Arbitration No. 00-04172 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence Einuis, (Claimant) v. The Thornwater Company, Inc., Clark D. Ruiz, Adam DeMario, and Gregory S. Kellar, (Respondents) Case Number: 00-04172 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Laurence Einuis, hereinafter referred to as "Claimant": John P. Cione, Esq., Solana

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nfltnp nf the Claimant Case Number 02-07045 Debra L. Byrne e nf the Respondent Hearing Site: Philadelphia, PA TD Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. RFPRFSFNTATTON OF PARTIES Claimant, Debra L. Byrne, hereinafter referred to as "Claimant", was represented by Thomas J. Byrne, Marlton, New Jersey. Respondent, TD Waterhouse Investo