NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05681 Raymond, James & Associates, Inc., claimant vs. Michael Mitacek, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert C. Stokes, Esq., St. Petersburg, FL. Respondent did not respond to the Statement of Claim. DATE FILED: September 24, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of a Promissory Note. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05680 Brian Wirth, claimant vs. Morgan Keegan, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Nokomis, FL. For Respondent appeared in-house counsel, J.P. Brizzolara, Esq., Memphis, TN. DATE FILED: September 23, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claimant sold shares of Reliant Energy, Inc. and Aquila Inc. from his account with

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05675 Henry Warnaar Trust, Henry Warnaar TTEE DTD 4/22/92 Ethel M. Warnaar Name of the Respondent Hearing Site: Boca Raton, Florida Calton & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Henry Warnaar Trust, Henry Warnaar TTEE DTD 4/22/92 and Ethel M. Warnaar, hereinafter collectively ref

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frederic M. Gregory, Individually and as Beneficiary of the Frederic M. Gregory, IRA, Claimant v. American Income Securities, Inc., Frank Hickcox, II, Sean Zarinegar, Clayton E. Dilliard, n and Dennis P. Stahr, Respondents Case Number: 00-04037 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Fredric M. Gregory: Jonathan W. Evans Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05666 Raymond James & Associates, Inc. Name of the Respondent , Hearing Site: Tampa, Florida John DeChellis REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJ&A"), hereinafter referred to as "Claimant": John M. Norton, II, Esq. and Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida. John D

CASE: 02-05662 Echo Lakes Hedge Fund, L.P. & Joseph V. Bocchino, M.D., Claimants v. Spear, Leeds & Kellogg, Carlin Equities Corp. and Mario J. Coniglione, Respondents ATTORNEYS: For Claimants, Echo Lakes Hedge Fund, L.P. & Joseph V. Bocchino, M.D., ("Claimants"), appeared John B. Livelli, Esq., of the firm Robinson & Livelli, Newark, NJ. For Respondent, Spear, Leeds & Kellogg, appeared Ida Wurczinger Draim, Esq., of the firm Dickstein, Shapiro, Morin & Oshi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp Claimant Pagp "Nhimhpr- 02-05659 Raymond, James & Associates, Inc. Nfltw n ftriF Ffsr^THlfnt "pffrflffog ^itf' Dallas, Texas William C. Gunstead RFPPFSITNTATTON Claimant Raymond, James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Esq. of Raymond, James & Associates, Inc., located in St. Petersburg, Florida. i Respondent Wi

NASD Dispute Resolution Arbitration No. 02-05653 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mike Bornstein, (Claimant) vs. Ehrenkrantz King Nussbaum, Inc., John Scott Matthews, Brian Joseph Hagerman, and Joan Mary King, (Respondents) Case Number: 02-05653 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mike Bornstein, hereinafter referred to as "Claimant": appeared pro se. R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Island ECN, Inc. (Claimant) v. B-Trade Services, LLC (Respondent) Case Number: 02-05647 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES Claimant The Island ECN, Inc. hereinafter referred to as "Claimant": Max Gitter, Esq., Cleary, Gottlieb, Steen & Hamilton, New York, NY. Previously represented by: Vaishali Javeri,. Associa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Thomas P. Muchisky and Michi 1. Muchisky Name of the Respondent Citiarouo Global Markets, Inc. ) ) ) ) ) ) ) ) Case Number: 02-05646 Hearing Site: St. Louis, Missouri MATIIPF HE Customers vs. Member Firm PARTIES Gerald P. Greiman, Esq. of the law firm Spencer, Fane, Britt & Browne, LLP, located in St. Loui