NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:02-07027 John Armato, Claimant vs. Eric Citrin and EarlyBird Capital, Inc., Respondents. ATTORNEYS: Claimant, John Armato, ("Claimant"), appeared pro se, Katonah, NY. For Respondents, Eric Citrin and EarlyBird Capital, Inc.,(collectively "Respondents"), appeared Meredith Rosen Cavallaro of the firm Paduano & Weintraub LLP, New York, NY. DATE FILED; November 20, 2002 CASE SUMMARY: Claimant al

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary W. Sims Trust DTD 08/08/96, Mary W. Sims, Trustee, and Kenneth S. Sims (Claimants) v. McDonald Investments, Inc. and Jeffrey P. Levesque (Respondents) Case Number: 02-07024 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Mary W. Sims Trust DTD 08/08/96, Mary Sims, Trustee ("Sims Trus

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 02-07023 Thomas J. Textor, Lawrence M. Waterhouse, Jr., Louis Giacalone and John Gavey, Claimants vs. Nathan Stark and Genia Stark, Respondents. ATTORNEYS: For Claimants appeared April M. Chung, Esq., of the firm Theodore A. Krebsbach & Associates, P.C., New York, NY. For Respondents appeared Martin J. Gofberg, J.D. of the firm Equitable Resolution Group, LLC, Malven, NY. DAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07021 Ken Iverson trust, Claimant vs. Larry Little and Bob Chambers, Respondents. ATTORNEYS: Claimant, Ken Iverson Trust, ("Claimant") appeared Pro Se., Morris, IL. For Respondents, Larry Little and Bob Chambers (collectively "Respondents") appeared Thomas S. Rea, Esq. of the Law Office of Bryan Cave LLP, St.Louis, MO. DATE FILED: November 20, 2002. CASE SUMMARY: Claimant alleged that Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marc A- Schoen Names of the Respondents R. K. prace & Company John Kaweske Cardinal Capital Management, Inc. Cardinal Capital Net, Inc. Case Number: 02-07020 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Marc A. Schoen, hereinafter ref

r Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07017 Gregory P. Hopkins, Individually Gregory P. Hopkins IRA Hopkins Enterprises, Inc. Dinny F. Hopkins IRA Gregory D. Hopkins IRA Tiffany J. Hopkins IRA Brittney E. Hopkins IRA Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities, Inc. Marc Gendell Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Carol A. Finnegan Names of the Respondents Stifel, Nicolaus & Co., Inc. Century Securities Associates, Inc. John Bergeron Steve Plauche Case Number: 02-07016 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Carol A. Finnegan, hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07014 Seymour Eisen Names of the Respondents * Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Robert Wasserman Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Seymour Eisen ("Eisen"), hereinafter referred to as "Claimant": Philip J. Feldman, Esq., Feldman & Getz, LLP

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William G. Glenn on behalf of William G. Glenn IRA Trust and as beneficial interest holder of Glenn Family Trust and 02-07013 Phoenix, Arizona Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Henry M. Blodget Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES William G. Glenn on behalf of

Stipulated Award NASD Dispute Resolution In the-Matter of the Arbitration Between: Seymour "Sy" Rubin, Claimant v. Sonny H. Mike and Wells Fargo Investments, LLC, Respondents Case Number: 02-07005 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION QF PARTIES For Claimant: Richard D. Brady, Esq. Richard D. Brady, LLC Tacoma, Washington For Respondents: Robert T. Sullwold, Esq.