AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Miller Johnson Steichen Kinnard, Inc. v. 02-06736 Minneapolis, Minnesota Respondents Northland Securities, Inc., Thomas Bartzen, Mark Beese, Steven Mattson, J. Patrick Maloney IE, Richard Reynolds, Seth Kahn, Brian Kujawa, Paul Donna, Steven Gapinski, Gracia Butwin, Nicholas Skarich, Ryan McEnerney, Bryan Johnson, Cyndy Litke and Gary Nelson Counter-C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Myra Rattner (Claimant) v. Morgan Stanley DW, Inc. and Andrew Nygren (Respondents) Case Number: 02-06733 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Myra Rattner ("Rattner") hereinafter referred to as "Claimant": Lawrence M. Gottlieb, Esq., Hass & Gottlieb, Scarsdale, NY. Respondents Morgan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Ronald Kramer (Respondent) Case Number: 02-06730 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant First Union Securities, Inc. ("FUSI") hereinafter referred to as "Claimant": John E. MacDonald, Esq., Stark & Stark, P.C., Princeton, NJ. Respondent Ronald Kramer ("Kram

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Continental Broker-Dealer Corp. Name of the Respondent Terry Fields Case Number: 02-06728 Hearing Site: Boca Raton, Florida Nature of Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Fell, LLP, Garden City, New

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Tomassi (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth Neuman (Respondents) Case Number: 02-06726 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter A. Tomassi ('Tomassi") hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., Englewood, N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nancy Cook and Case Number: 02-06723 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc. Marvin C. Joubert NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Nancy Cook ("Claimant") was represented by Mary A. Van Kerrebrook, Esq., of Edler, Van Kerrebrook & Corpening, LLP, in Houston

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant Karin Irwin Revocable Trust Karin Irwin, Trustee Name of the Respondents Steven S. Godwin , Jean S. LaFata and Edward D. Jones & Co., L.P. Case Number- 02-06722 Hearing Site- St. Louis, Missouri NATTTKF OF TITSP1TTF. Customer vs. Member Firm and Associated Person OF PAKTTF Michael Hume of Loss Recovery Center located in Incline Village,

«-. \ In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. vs. Respondent Raymond L. Natili, III Case Number: 02-06718 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant", was represented by Joshua S. Bratspies, Esq., Riker Danzig Scherer Hyland Perretti, LLP, Morristown, New Jersey. Respondent d

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants flase Number: 02-06716 William Terry William Terry Agency, Inc. Name nf the T? espondents Hearing Sitfv Richmond, Virginia Great Eastern Securities, Inc. Joseph Pagano Michael Bruno Alphonse Mekalainas Nature of the Dispute: Customers vs. Member and Associated Persons. UFPRESFNTATTfW OF PARTTRS Claimants, William Terry ("Terry") and William

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harry Finkle, Claimant vs. Track Data Securities, Respondent. Case Number: 00-04137 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Harry Finkle, hereinafter referred to as "Claimant": Harry Finkle, Carmel, California Respondent, Track Data Securities - a Division of Track Securities Corporation ("TDS"), hereinafter referred to as "Respondent": Mars