Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05355 Richard L. Rush Name of the Respondent Hearing Site: Boca Raton, FL Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard L. Rush, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florida. For Prudential Securities, Inc., hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05354 Legg Mason Wood Walker, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia The Delta Group, Inc. Chris Winter REPRESENTATION OF PARTIES For Legg Mason Wood Walker, Inc. ("Legg Mason"), hereinafter referred to as "Claimant": Jason W. Gaarder, Associate General Counsel, Legg Mason, Baltimore, Maryland. Respondent The

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Octavio Leon Socorro J. De Leon Myriam Leon Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick!. Dwyer Peter G. Amendolair Case Number: 02-05353 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Octavio Leon, Socorro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna Cialino and The Anna Cialino Trust (Claimants) v. Wall Street Financial Group, Inc. and Bruce Whitman (Respondents) Case Number: 02-05346 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Anna Cialino and The Anna Cialino Trust ("the Trust") hereinafter referred to as "Claimants": Richard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Richard A. Hurles Nnmhftr 02-05344 Name nf thfi Respondent Gail M. Mackler-Carlino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, Richard A. Hurles ("Hurles"), hereinafter referred to as "Claimant", was represented by Vincent J. Pancari, Esq., Kavesh, Pancari, Tedesco &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Name nf the Claimant Pagp Number 02-05332 United Securities Alliance, Inc. of the Respondents Hpan'ng Site* Pittsburgh, PA Harvey Cohen Cohen Financial Services, LLC Nature of the Dispute: Member vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, United Securities Alliance, Inc., hereinafter referred to as "Claimant", was represented by CaflaB;Minc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Case Number 02-05331 RBC Dain Rauscher, Inc. Name nf the Respondent Hearing Sitp- Pittsburgh, PA Edmund Kosakowsky Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant", was represented by Karl L. Marquardt, Esq., Dressier, Amery & Ross, P.C., New York, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Michelle Cardella, Claimants, Vs. TO Waterhouse Investor Services, Inc. Respondent. Case Number: 00-04001 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, David and Michelle Cardella, hereinafter collectively referred to as the "Claimants": Thomas J. Kimmell, Esq. of the firm Zarlengo & Kimmell, LLC, Denver, Colorado. Respon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05329 Name of Respondent/Counter-Ciaimant Deborah M. Nowacki i Consolidated with Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05330 Hearing Site: South

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05329 Name of Respondent/Counter-Ciaimant Deborah M. Nowacki i Consolidated with Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05330 Hearing Site: South