Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Whitman (Claimant) vs. CIBC World Markets Corporation; Rolf W. Brunner and Ivan O. Alfaro (Respondents) Case Number: 02-05718 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bruce Whitman hereinafter referred to as ("Claimant"): Steven A. Berger, Esq. and Kenneth J. Applebaum, Esq., Berg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. (Claimant) v. John Santaniello (Respondent) Case Number: 02-05716 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS PaineWebber, Inc. ("PaineWebber") hereinafter referred to as "Claimant": Laura Martin, Esq. and David Becker, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Pre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick!. Forrester, Claimant v. American Express Financial Advisors, Inc., Respondent Case Number: 00-04039 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Thomas Campbell, Esq. Smith Campbell, LLP New York, New York For Respondent: Leigh Ann White, Esq. Cariton, DiSante < & Freudenberger, LLP Irvine, California CASE INFORMATIO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05712 Thomas C. Maloney, claimant vs. Anthony T. Williams and Salomon Smith Barney, respondents. ATTORNEYS: Claimant appeared pro se, Bloomington, IN. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: September 25, 2002 CASE SUMMARY: Claimant alleged that respondents advised him to purchase shares of American On Line and Sonic Blue without disclosing t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sarah Virgadamo, Claimant v. Financial Network Investment Corporation and Luki Lucrecia Styskal Vail, Respondents Case Number: 02-05708 Hearing Site: San Diego, California Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Catherine L. Bailey, Esq. Akins & Villavicencio, LLP Carlsbad, Californ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MamfLQf the Claimant Casp Number: 02-05704 UBS PaineWebber, Inc., Maroffjif the R e.spondp.nt HfiRTing-Site: Houston, Texas Jason A. Koch, Claimant UBS PaineWebber, Inc., hereinafter referred to as "Claimant," was represented by Lisa A. Cataiano, Esq. of Davidson, Manchel & ttrennan LLP located in Northvale, New Jersey. Respondent Jason A. Koch, hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R.L. Heinrichs, Case Number: 02-05702 Claimant, vs. Morgan Stanley Dean Witter, Hearing Site: Houston, Texas Stuart Bastin, Respondents. Nature of Dispute: Customer v. Member and Associated Person Claimant R.L. Heinrichs, hereinafter referred to as "Claimant," was represented by John Courtade, Esq. located in Austin, Texas. Respondents Morgan Stanley Dean Witter and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Alexei Gusarov and Sandra Gusarov v. 02-05699 Denver, Colorado Respondents Multi-Financial Securities Corporation and Matthew D. Hickey ' ' Nature of Dispute: Customers, v. Member and Associated person , • REPRESENTATION OF PARTIES Alexei Gusarov and Sandra Gusarov ("Claimants") were represented by Brad S. Maistrow, Esq., of Snow Becker Krauss

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05695 Kathy Kaplan Smith; Kathy Kaplan Smith SSB IRA Custodian; Kathy Kaplan Smith ACF Jennifer F. Smith U/FL/UTMA; and, Kathy Kaplan Smith Gist Jordan B. Smith UGTMA Name of the Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Nature of Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Juan Rohan (Claimant) v. Maxcor Financial, Inc. (Respondent) Case Number: 02-05682 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Juan Rohan ("Rohan") hereinafter referred to as "Claimant": Neal Brickman, Esq., The Law Offices of Neal Brickman, New York, NY. Respondent Maxcor Financial, Inc. ("Maxcor") here