NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04136 Joseph Orlando, Claimant vs. Preferred Securities, Inc., Vic Lessinger, David Barr, Robert Vitale and Sixto Durand, Respondents. ATTORNEYS: For Claimant appeared Michael H. Ference, Esq., of the law firm Sichenzia, Ross & Friedman LLP, New York, NY. For Respondents Preferred Securities, Inc., Vic Lessinger, David Barr, and Robert Vitale appeared Carole R. Bernstein, Esq.,,Wes

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00429 Joseph A. Modica, claimant vs. Morgan Stanley Dean Winer f/k/a Discover Brokerage, respondent. ATTORNEYS: Claimant Joseph Modica appeared Pro Se, Naples, FL. For Respondent Morgan Stanley Dean Witter f/k/a Discover Brokerage appeared, in house counsel, Judith M. Rosenberg Esq., San Francisco, CA DATE FILED: February 1, 2000 ~~ " ~~ CASE SUMMARY; Claimant alleged his 400 s

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06689 Leonard L. Levenstein Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. and Michael S. Bell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leonard L. Levenstein, hereinafter referred to as "Claimant": Jeffrey P. Shapiro, Esq., Shapiro Ramos, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Aaron Greenberg and Concetta Greenberg Names of the Respondents John A. Briggs, Raymond James & Associates, Inc. and UBS PaineWebber, Inc. Case Number: 02-06688 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Aaron Greenberg and Concetta Greenbe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06681 Kim Pickett, Claimant vs. Fahnestock & Co.Inc., James Gianni, Mike Costa and Richard Coloni, Respondents. ATTORNEYS: Claimant, Kim Pickett, ("Claimant"), appeared pro se., Chester Springs, PA. Respondents, Fahnestock & Co. Inc, James Gianni, Mike Costa and Richard Coloni, (collectively "Respondents"), appeared through their in-house counsel, Angela A. Turiano, Esq., New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Bottega IRA and Margaret C. Bottega IRA (Claimants) v. A.G. Edwards & Sons, Inc. and Peter Leibman (Respondents) Case Number: 02-06675 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John J. Bottega IRA (J. Bottega IRA") and Margaret C. Bottega IRA ("M. Bottega IRA") hereina

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and Name of Respondent Steven Letzer Case Number: 02-06671 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Leslie A, Reese, Esq., Raymond James & Associates, Inc., St. Petersberg, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Frederick J. Peet, Jr. Name nf the Re.sponHp.nts Vincent C. Ficci and DuPont Securities Group, Inc. . Number 02-0667(1 Hearing .Site: St. Louis, Missouri NATTTPF OF H1SPTTTF Customer vs. Member Firm and Associated Person RFPRFSFNTATION OF PAttTTFS Steven W. Koslovsky, Esq. of the Law Offices of Steven Koslovsky, Heights, Missouri represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William Frederick Clarke v. 02-06669 Denver, Colorado Respondents Edward D. Jones & Co., LP d/b/a Edward Jones, Richard L. Warner, Kenneth G. Geske, Margaret H. Noreus, James A. Kubiak, Mindy R. Brackelsberg, Stephanie L. Powers, and James M. Caruso Nature of Case: Customer v. Member and Associated Persons REPRESENTATTON OF PARTIES William Frederi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant Silvio Francani and 02-06666 Phoenix, Arizona Name of Respondents Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. Sandro J. Francani Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Silvio Francani ("Claimant") was represented by John R. Hoopes, Esq., Hoopes & Adams, PLC, Mesa, Arizona.