CASE: 02-05256 Bishop Rosen & Co. Inc., Claimant vs. Tom Bononno, Patrick Snipes, and 1st Tennesses Capital Markets, Respondents. ATTORNEYS: Claimant, Bishop Rosen & Co. Inc.("Claimant") appeared through Thomas Russo, New York, NY. Respondents, Tom Bononno, Patrick Snipes, and 1st Tennesses Capital Markets (collectively "Respondents") appeared through Joel Ross, Memphis, TN. DATE FILED: September 5, 2002 CASE SUMMARY: Claimant alleged that responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Edgar Antonio Desola Case No. 00-03990 Name of Respondent UBS PaineWebber, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Edgar Antonio Desola ("Desola") hereinafter referred to as "Claimant": Phillip J. Snyderburn, Esq. of Snyderburn, Rishoi & Swarm, Winter Park, FL. For UBS PaineWebber, Inc. ("UBS") hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 02-05254 Louise Bowman Vick Melissa Vick Wilkins Names of the Respondents Hearing Site: Atlanta, Georgia UBS PaineWebber, Inc. Everett F. Nix, Jr. Thomas Kloess Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louise Bowman Vick and Melissa Vick Wilkins, hereinafter collecti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sondra L Thorn i and Case Number: 02-05250 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Brian S. Launstein REPRESENTATION OF PARTIES Sondra L. Thorn ("Thorn" or "Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Merrill Lynch Pierce Fenner & S

Jul 09 04 09:29a Benson Choy 2132292395 p.2 Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gertrude E. Green, The Trudi & John Green Trust dtd 6/5/9, Claimants v. Rural Securities, Inc., Barron Chase Securities, Inc., FAS Wealth Management Services, Inc., Investors Street, Inc., and Moises Ramos* Jr., Respondents Case Number: 02-05241 Hearing Site: Los Angeles, California Nature of the Dispute: Customers

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05239 John Barrel! Manuel Vicky Manuel Names of the Respondents Hearing Site: New Orleans, LA Prudential Securities, Inc. " , Michael Boagni Andy Schmitz William E. Blakeman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Darrell Manuel and Vicky Manuel, hereina

" NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05238 Charles Schwab & Co., Inc., Claimant v. Jeffrey Michael Leavitt, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., Inc., ("Claimant"), appeared through its Vice President & Senior Corporate Counsel Richard A. Karoly, Esq., San Francisco, CA. Respondent, Jeffrey Michael Leavitt, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer DATE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shujaat Husain and Zaheerun Nisa Husain, Claimants v. Fidelity Brokerage Services, Respondent Case Number: 02-05234 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants; In Propria Persona For Respondent: Susan L. Hoffinan, Esq. Bingham McCutchen Los Angeles, California CASE INFORMATION Statement of Claim filed: September 4 S 2002 Ame

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05226 Dwight C. Schaubach Name of the Respondent Hearing Site: Atlanta, Georgia Bear Stearns & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dwight C. Schaubach, hereinafter referred to as "Claimant": Steven J. Gard, Esq., Gard Smiley Bishop & Dovin LLP, Atlanta, Georgia. For Bear Stearns & Co., I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas McGovem and Thomas McGovern IRA (Claimants) v. Salomon Smith Barney, Inc., Michael Kennedy, Michael Narchassalla and Gabriel Torrens (Respondents) Case Number: 02-05216 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas McGovern ("McGovem") and Thomas McGovern ERA ("McGovem