NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06251 Martha R. Green, claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Matt Kittell, and Thompson, Siegel & Walmsley, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Memphis, IN. For Respondents appeared in-house counsel from Merrill Lynch, Pierce, Fenner & Smith Inc., Jennifer Woods Burke, Esq., New York, NY. DATE FILED: October 18, 2002 ™ CASE SUMMARY: Claimant all

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Adam Reback (Respondent) and Richard P. Barnett and Adam J. Reback (Claimants) v. Fahnestock & Co., Inc. (Respondent) and Fahnestock & Co., Inc. (Claimant) v. Richard P. Barnett (Respondent) Case Numbers: 02-05807 (consolidated w/02-06041 and 02-06249) Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Chester Li (Respondent) Case Number: 02-06248 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Fahnestock & Co., Inc. ("Fahnestock") hereinafter referred to as Claimant": Evelyn Bukchin, Esq., Fahnestock & Co., Inc., New York, NY. Respondent Chester Li ("Li") hereinafter r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06247 Carol L. Sherman, Claimant vs. Ronald J. Scheucher and Prentice Securities, Inc., Respondents. ATTORNEYS: Claimant, Carol L. Sherman, ("Claimant"), appeared Pro Se., Milwaukee, WI. For Respondents, Ronald J. Scheucher and Prentice Securities, Inc. (collectively "Respondents"), appeared Robert J. Pluta, Esq., of the firm Quarles & Brady, LLP., Milwaukee, WI. DATE FILED: October 18, 2002

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06246 Allan Marks and Catherine Fiasca, claimants vs. Herbert N. Rosenberg and Janney Montgomery Scott LLC, respondents. ATTORNEYS: Claimants appeared Lucy Emhardt, of Fordham University School of Law, New York, NY. For Respondents appeared Carrie L. Chelko, Esq., of the firm Saul Ewing, LLP, Philadelphia, PA. DATE FILED: October 18, 2002 CASE SUMMARY: Claimants alleged that responde

CASE: 02-06245 Pioneer Services/Pioneer Portfolio Corp., claimant vs. Patricia Masel, respondent. ATTORNEYS: Claimant appeared pro se through its President, Roy S. Kirton, Copiague, NY. For Respondent previously appeared George Goldman, of the firm Goldman Fischer Development Co. LLC, Northport, NY. Respondent is currently represented by Edward J. Tuscano, Esq., of the firm Tuscano & Associates PC, Huntington, NY. DATE FILED: October 18, 2002 CASE SUMMA

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Jeffrey M. Gamble and Sharon W. Gamble 00-04092 Names of the Respondents Hearing Site: Morgan Stanley DW, Inc., Mike Spaulding, and Allen Bailey Memphis, TN REPRESENTATION OF PARTIES For Jeffrey M. Gamble and Sharon W. Gamble, hereinafter collectively referred to as "Claimants": Jack G. Heffington, Esq., Murfreesboro, TN. For Respondents Morgan St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06244 Nancy L. Rogers, Trustee U/A DTD 10/3/96 Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Richard "Dick" Emerson EWW Group a/k/a Emerson Waller Group Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Nancy L. Rogers, Truste

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06240 Kalliope Singletary Names of the Respondents Hearing Site: Tampa, Florida FSC Securities Corporation Pershing Division of Donaldson Lufkin & Jenrette Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kalliope Singletary, hereinafter referred to as "Claimant": Robert Persante, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06239 John Cohee John Cohee IRA Cohee First Family Limited Partnership Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Cohee, John Cohee IRA, and Cohee First Family Limited Partnership, hereinafter referred to as