Award NASD Dispute Resolution In the Matter of the Arbitration Between: Municipal Partners LLC (Claimant) v. Cantor Fitzgerald Partners and Howard Lutnick Case Number: 02-06002 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Municipal Partners LLC hereinafter referred to as "Claimant": Henry G. Burnett, Esq., Fulbright & Jaworski LLP, New York, NY. Respondents Cantor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gabriel Weisz (Claimant) v. Liberty Capital I, L.L.C., Jeffrey Dubowy, and Martin Rebhun (Respondents) Case Number: 02-06000 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gabriel Weisz ("Weisz") hereinafter referred to as "Claimant": David Crystal, II, Esq. and James P. Donohue,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-5999 H&R Block Financial Advisors, Inc., Claimant vs. Thomas Graham and Catherine Graham, Respondents. ATTORNEYS: Claimant, H&R Block Financial Advisors, Inc., ("Claimant"), appeared through its in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent, Thomas Graham and Catherine Graham, (collectively "Respondents"), did not respond to the Statement of Claim. DATE FILED: Octob

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Anne C. Vogrin Case No. 00-04068 Name of Respond ent(s) Polaris Financial Services, Inc. Karl T. Crytser Hearing Site- Philadelphia, PA PF.PJRFSF.NTATTON Of fARTTF.S Claimant Anne C. Vogrin, hereinafter referred to as "Claimant", represented herself at the hearing. Respondents, Polaris Financial Services, Inc. ("Polaris") and Karl T. Cryster ("Cryster"), her

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05996 Anthony J. and Mary Lou Tosques, IRA, claimants vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and E. Stanley Peck, Jr., respondents. ATTORNEYS: Claimants appeared pro se, Green Pond, NJ. For Respondents appeared in-house counsel, Richard Kelly, Esq., New York, NY. DATE FILED: October 8, 2002 CASE SUMMARY: Claimants alleged that respondents failed to execute an order to sell all of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05995 Whitney Securities, L.L.C., claimant vs. Raymundo Farrugia, respondent. ATTORNEYS: For Claimant appeared Chris K. Ralston, Esq., of the firm Phelps Dunbar LLP, New Orleans, LA. For Respondent did not respond to the Statement of Claim. DATE FILED: October 8, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed that resulted from a debit balance created whe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05994 H&R Block Advisors, claimant vs. Hector Gamboa, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: October 8, 2002 CASE SUMMARY: Claimant alleged that respondent purchased shares of Broadcom Corp CL A and Newfocus with a check that was returned for insufficient funds. Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05993 Frederick B. Bamford, Claimant vs. Dreyfus Service Corp., Jeffrey R. Kraebel and Carl V. Melella, Respondents. ATTORNEYS: Claimant, Frederick B. Bamford, ("Claimant") appeared Pro Se., Longwood, FL. For Respondents, Dreyfus Service Corp., Jeffrey R. Kraebel and Carl V. Melella, (collectively "Respondents"), appeared Jonathan Budd, Esq., of the firm Reid Priest, LLP, Pittsburgh, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05991 Morgan Stanley Dean Witter, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Michael S. Wallman REPRESENTATION OF PARTIES For Morgan Stanley Dean Witter, Inc., hereinafter referred to as "Claimant": Edward A. Walton, Esq., Ronald P. Kane, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura J. Roantree (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Allen White (Respondents) Case Number: 02-05981 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laura J. Roantree ("Roantree") hereinafter referred to as "Claimant": Christopher J. Conrad, Esq., p