CASE: 02-05215 InvestPrivate Inc., Claimant vs. Sean Byrnes, Respondent. ATTORNEYS: For Claimant, InvestPrivate Inc., ("Claimant") appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., New York, NY. Respondent, Sean Byrnes, ("Respondent") did not respond to the Statement of Claim. DATE FILED: September 4, 2002 CASE SUMMARY: Claimant alleged that Respondent has failed to repay monies owed pursuant to the terms of an Employment Agreement.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra J. Rosen, individually and as Trustee of the Sandra J. Rosen Revocable Living Trust U/A dated December 6, 2001, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Donald C. Gannan, Respondents Case Number: 02-05204 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Patrick Baldwin, Esq. Christine McNamara, Esq. Menlo Park, Califor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vinod K. Patwa and Sneh Patwa (Claimants) v. Friedman, Billings, Ramsey & Co., Emanuel J. Friedman, and Laksimi N. Sampath (Respondents) Case Number: 00-03979 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Vinod K. Patwa ("V. Patwa") and Sneh Patwa ("S. Patwa") hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05202 Continental Broker-Dealer Corp. Name of the Respondent Hearing Site: Boca Raton, Florida Stephen D. Berg REPRESENTATION OF PARTIES For Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Feil, LLP, Garden City, New York. Stephen D. Berg, hereinafter referred to as "Respondent", a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward G. Messer (Claimant) v. Raymond, James & Associates, Inc., Robert Thomas Securities, Inc., Raymond James Financial Services, Inc., and Robert Walen (Respondents) Case Number: 02-05201 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Edward G. Messer ("Messer") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael R. Petrucelli (Claimant) v. Merrill Lynch, Pierce, Fenner &'Smith, Inc. (Respondent) Case Number: 02-05197 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Michael Petrucelli ("Petrucelli") hereinafter referred to as "Claimant": John I.E. Markham, n, Esq., Markham & Read, Boston, MA. Respondent Merrill Lyn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Caqf* Number- 02-05196 Edwin R. and Connie Horner Names nf thfi Pegpnndents Hiring Site- Philadelphia, PA Continental Broker Dealer, Corp., Anthony J. Calascione, and Thomas M. Tiernan, Jr. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Edwin R. and Connie Horner, hereinafter collectively ref

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dianne Fileccio, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Paul Tuchman, Respondents Case Number: 02-05193 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Dianne Fileccio ("Fileccio") hereinafter referred to as "Claimant": Joseph O'Donnell, Esq., Investment R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05190 DaVid L. Markland, claimant vs. Pruco Securities Corporation and Ross W. Whitfield, respondents. ATTORNEYS: Claimant appeared pro se, Martinsville, IN. For Respondents appeared Melanie D. Margolin, Esq., of the firm Locke Reynolds, LLP, Indianapolis, IN. DATE FILED: September 4, 2002 CASE SUMMARY: Claimant alleged that respondents breached their fiduciary duty by failing to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert S. Cohen and Maryann Kuzel Cohen (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Ury (Respondents) Case Number: 02-05189 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert S. Cohen ("R. Cohen") and Maryann Kuzel Cohen ("M. Cohen") hereinafter collective