AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Philips. Almon v. 02-05958 Denver, Colorado Respondents Wachovia Securities, LLC and John D. Simmons Nature of Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Philip S. Almon ("Claimant") was represented by Otto K. Hilbert, n, Esq., of Robinson, Waters & O'Dorisio, P.C., Denver, Colorado. Wachovia Securities, LLC ("Wac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Bear Stearns & Co., Inc. Name of the Respondent: Michael J. Strasser Case Number: 02-05954 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bear Stearns & Co., Inc., hereinafter, referred to as "Claimant": Nicholas K. Notias, Esq., Capetanakis & Preite, New York, NY. Respondent, Michael J. Strasser, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05953 Nextrade, Inc. Names of the Respondents Hearing Site: Tampa, Florida Deutsche Bank Securities, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Schonfeld Securities, LLC Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES For Nextrade, Inc., referred to as "Claimant Nextrade": Daniel Caama

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Burgess (Claimant) v. Kevin Jackson and Janney Montgomery Scott, LLC (Respondents) Case Number: 02-05950 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Catherine Burgess, hereinafter referred to as "Claimant": John S. Rubrich, Esq., Louis N. George, Esq., and Stuart E. Brown, Esq.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph O. Casale v. Pruco Securities Corp., Respondent and The Prudential Insurance Company of America, Third-Party Claimant, v. Josephh O. Casale, Respondent. Case Number: 00-04062 Hearing Site: New York, New York REPRESENTATION OF PARTIES CJaimant/Third-Party Respondent, Joseph O. Casale ("Casale" or "Claimant")- Laurent S. Drogin, Esq., Tarter Krinsky & Drogi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Armato d/b/a Armato Securities (Claimant) vs. Vincent Molinari, Joseph DeSena, and Burlington Capital Markets (Respondents) Case Number: 02-05949 Hearing Site: New York, New York Nature of the Dispute: Non-Member vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimant John Armato d/b/a Armato Securities hereinafter referred to as "Claimant": Kevin Conway, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dr. Harold H. Kalman Trustee FBO Harold Kalman Harold Kalman IRA Pearl Z. Kalman Trustee FBO Pearl Kalman Names of the Respondents Quick & Reilly Thomas Barnwell Case Number: 02-05940 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Harold H. Kalman Tru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tnp Claimant Case Number 02-05926 Nancy Taylor Smith Name of the Respondents "Rearing Site: Raleigh, NC J.C. Bradford & Co. n/k/aUBS Financial Services, Inc. Morgan Keegan & Company, Inc. Russ N. Britton Nature of the Dispute: Customer v. Members and Associated Person. RFPRFSF.NTATTON OF PARTTFS Claimant, Nancy Taylor Smith, hereinafter referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of fop r!]aimants Past* Nnmher 02-05923 Jonathan Spom Alexandra Sporn Name nf tbp ftpgpmiflpnt Hearing Site: Washington, DC Morgan Stanley DW, Inc. Nature of the Dispute: Customers vs. Member RKPRFSRNTATTON OF PARTTF.S Claimants, Jonathan Sporn ("J. Sporn ") and Alexandra Sporn ("A. Sporn "), hereinafter collectively referred to as "Claimants", were represented by M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05918 David Baturin & Goldie Baturin, claimants vs. Merrill Lynch, Pierce, Fenner & Smith Inc., respondent. ATTORNEYS: Claimants appeared pro se through David Baturin, Franklin Square, NY. Respondent appeared through its in-house counsel, Demitri Nemirovsky, Esq., New York, NY. DATE FILED: October 3, 2002 CASE SUMMARY: Claimants alleged that respondent misrepresented information regardin