AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW Inc. and 02-04637 Phoenix, Arizona Name of Respondents Michael J. & Joan W. Brubacher Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Morgan Stanley DW Inc. ("Claimant") was represented by Gregory P. Gillis, Esq., Ridenour, Hienton,Harper, Kelhoffer,PLLC, Phoenix, Arizona. Michael J. & Joan W. Brubacher ("R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kay H. Owen and Cynthia K. Owen and 02-04635 Nashville, Tennessee Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Kay H. Owen and Cynthia K. Owen ("Claimants") were represented by H. Naill Falls, Jr., Esq., of the firm Falls & Veach, Nashville, Ten

Award NASD Dispute Resolution In the Matter of the Aibitration Between: Name nf the riai'manta < "!««» Miimher* 02-04632 John T. Calderaio Christina M. Calderaio >JflTnfl nf the "Respondents Hearing Site: Philadelphia, PA Morgan Stanley, DW, Inc. Chris Schell Schell/Kessler/Baker Group Edward Kain Nature of the Dispute: Customer vs. Member and Associated Persons. 01? PARTTV.fi Claimants, John T. Calderaio and Christina M. Calderaio, h

1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Alfred Feinblatt, individually and as trustee of the A. J. Feinblatt Trust, authorized agent for the Alex Brown LLC FBO Custodian for A. J. Feinblatt IRA, and as authorized agent for the Wooddale Chiropractic Clinic, Ltd. Donna M. Feinblatt, individually and as trustee' of the D. M. Feinblatt Turst, and as authorized agent for the Alex B

Award ' NASD Dispute Resolution In the Matter of the Arbitration Between: Giovanni Bucolo, as Trustee of the Bucolo Family Trust dated 6-15-87 and as Trustee of the Giovanni and Rina C. Bucolo Family CRUT dated 8-30-99, Claimants v. Angelo Talebi d/b/a Precision Financial Services and Linsco Private Ledger Corp., Respondents Case Number: 02-04622 Hearing Site: Las Vegas, Nevada Nature of Dispute: Customer v. Associated Person and Member Firm REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) vs. Rafael Febus (Respondent) Case Number: 02-04615 HearingSite: New York, NY REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Paul A. Lieberman, Esq., First Montauk Securities Corp., Red Bank, NJ. Previously represented by Joel Levinson, Esq. Montauk Securities Corp., Red Bank, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04612 Michael T. Hill Name of the Respondent Hearing Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Michael T. Hill, hereinafter referred to as "Claimant": Steven J. Card, Esq., Gard Smiley Bishop & Dovin LLP, Atlanta, Georgia. :

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Carl A. Zeiler Names of the Respondents First Montauk Securities Corp. and Paul Leahy Case Number: 02-04608 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Carl A. Zeiler, hereinafter referred to as "Claimant": Russell C. Silverglate, Esq. and Robert H. Rex, Esq., Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04606 Norman R. Levins, claimant vs. Kevin F. Cuddihy and David Brockway, respondents. ATTORNEYS: Claimant appeared pro se, Mt. Pleasant, SC. For Respondents appeared in-house counsel, Daren A. Luma, Esq., Merrill Lynch, Pierce, Fenner & Smith, New York, NY. DATE FILED: August 6, 2002 CASE SUMMARY: Claimant alleged that respondents failed to disclose important information regarding h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04602 Kenneth T. Potter, Individually and on behalf of Ken T. Potter R/O IRA Ken T. Potter and Diane D. Potter, JTWROS Ken T. Potter IRA Diane D. Potter, Individually and on behalf of Diane D. Potter R/O IRA Diane and Lynette Potter JT Marilyn B. David, Diane D. Potter and David H. David, JTWROS Names of the Responden