Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph J. Sando v. PaineWebber, Inc. n/k/a/ UBS Financial Services, Inc. Case Number: 02-06817 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Ralph J. Sando ("Sando") hereinafter referred to as "Claimant": Douglas A. Kutsko, Esq., Brian P. Biggins & Associates, Rocky River, OH. Respondent PaineWebber n/k/a/ UBS Financial Services, Inc. ("UBS") hereinafter referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) v. Michael Inghilterra (Respondent) Case Number: 02-06813 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant First Montauk Securities Corp. ("First Montauk") hereinafter referred to as "Claimant": Joel Levinson, Esq., First Montauk Securities Corp., Red Bank, NJ. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Glenn O. Machut and Jane A. Machut Respondents First Financial Planners and Shawn Kramlich Case Number: 02-06811 Hearing Site: Milwaukee, Wisconsin Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Glenn O. Machut and Jane A. Machut were represented by Mark E. Sanders, Esq., of Hailing & Cayo, S.C., located in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant and , , 02-06808 Louisville, Kentucky Name of Respondent Steven R. Taylor REPRESENTATION OF PARTIES McDonald Investment, Inc.., hereinafter referred to as ("Claimant") was represented by Matthew J. Morelli, Esq., of the firm Ulmer & Berne LLP., Cleveland, Ohio. Steven R. Taylor, hereinafter referred to as ("Respondent") appeared pro se. CASE INFORMATI

r ft AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant McDonald Investments, Inc. and Case Number: 02-06806 Hearing Site: Louisville, Kentucky Name of Respondent James B. Spear NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES McDonald Investments, Inc. ("Claimant" or "McDonald Investments") was represented by Matthew J. Morelli, Esq., Ulmer & Berne LLP, Clevela

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dagmar Wineinger [Claimant] v. U.S. Bancorp Piper Jaffray and Vincent H. Rossi [Respondents] Case Number: 02-06805 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES For Claimant(s): Mark D. Lammers Dagmar Wineinger Anson, Lammers & Barkley 3430 E. Sunrise Dr., Ste. 170 Tucson, AZ 85718 For Respondent(s): Lisa M. Bertain U.S. Bancorp Piper Jaff

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Martha Zilbermann and Margaret Apple and Case Number: 02-06804 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION QF PARTIES Martha Zilbermann and Margaret Apple ("Claimants") were represented by Christopher J. Bebel, Esq., of Sacks, Bebel and Boll, in Houston, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case. Number- 02-06799 Hilda G. Williamson Mary Ellis Gallucci Victoria Gallucci George L. Gallucci Robert R. Gallucci Anthony P. Gallucci Michael D. Gallucci Name of the Respondents Hearing Site: Pittsburgh, PA First Union Securities, Inc. James Hargreaves Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nf thp Plaimant ray^Tnlw 00-04147 Raike Financial Group, Inc. Hiring Sitfi' Philadelphia, PA George Neff. George Riccio n Claimant, Raike Financial Group, Inc. ("Raike"), hereinafter referred to as "Claimant", was represented by Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, Esq., PC, New York, New York. Respondent, George Neff ("Neff ), hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Holly Jeske Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Case Number: 02-06797 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Holly Jeske, hereinafter referred to as "Claimant": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach Gardens, Florida. For