AWARD NASD Dispute Resolution Li the Matter of the Arbitration Between Claimant Joseph A. Vento v. 02-06391 Denver, Colorado Respondent Quick &Reilly, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Joseph A. Vento ("Claimant") appeared pro se. Quick & Reilly, Inc. ("Respondent") was represented by Matthew S. Diggins, Esq., of Quick & Reilly, New York City, New York until a Notice of Appearance was filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lino and Rozanne Oriella, Rozanne Zingale Oriella, individually, Rozanne Z. Oriella, Custodian for Isabella Laura Oreilla UTMA/OH, and Rozanne Z. Oriella, Custodian for Marco Joseph Orieila UTMA/OH, Claimants Vs. Morgan Stanley Dean Witter, and Sidhartha Ranjan Sen, Respondents. Case Number: 00-04111 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06390 Manfred and Kathleen Heinrich Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. And Gregory C. Sarian Hearing Site: Philadelphia, PA Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Manfred and Kathleen Heinrich, hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Averill and Linda A. Averill, Claimants v. U.S. Bancorp Piper Jaffiay, Inc. n/k/a Piper Jaflfray & Co., Respondent Case Number: 02-06387 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member Firm REPRESENTATION OF PARTIES For Claimants: Jeffrey C. Grant, Esq. Helsell Fetterman LLP Seattle, Washington For Respondent: Curt Hineline, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph H. Ciantar, Claimant v. WM Financial Services, Inc. and Lisa Ann Lighthipe-Hinz, Respondents Case Number: 02-06386 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent WM Financial Services, Inc. For Respondent Lisa Ann Lighthipe-Hinz: Jonathan W. Evans, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marilyn Bost v. 02-06381 Denver, Colorado Respondents Presidential Brokerage, Inc., James B. Campbell, Michael W. Speer, Daniel G. Lempe, and John A. DuPriest Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Marilyn Bost ("Claimant") was represented by Robert A. Lees, Esq., of Robert A. Lees & Associates, Castle R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: E*Trade Securities, LLC, Claimant v. John Michael O'Connor and Tammy Lynn O'Connor, Respondents Case Number: 02-06379 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: John Bersin, Esq. E*Trade Securities, LLC Rancho Cordova, California Respondents did not appear. CASE INFORMATION Statement of Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel D'Onofrio, Jr. (Claimant) v. Richard Vangel and Salomon Smith Barney, Inc. (Respondents) Case Number: 02-06377 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Samuel D'Onofrio, Jr. ("D'Onofrio") hereinafter referred to as "Claimant": Todd H. Lampert, Esq., Lampert, Williams & Toohey, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melvyn M. Nizny, MD, Individual IRA Rollover and Cincinnati Center for Psychoanalysis PEN/PS Plans f/b/o Melvyn M. Nizny, MD (Claimants) v. Edward T. Kennedy and The Sachs Company (Respondents) Case Number: 02-06374 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Melvyn M. Nizny, MD, Individual

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William P. Abbott (Claimant) v. McDonald Investments, Inc. and Douglas Sanker (Respondents) Case Number: 02-06373 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant William P. Abbott ("Abbott") hereinafter referred to as "Claimant": David B. Webster, Esq., Webster & Webster, LLP, Cleveland, OH. Respo