Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert A. Bochner ("Claimant") v. Tucker Anthony Inc., RBC Dain Rauscher Inc. (successor- by-merger to Tucker Anthony Inc.), Michael H. Rakowsld and Stephen H. Stark NASD Arbitration No. 02-01098 REPRESENTATION OF PARTIES Claimant, Robert A. Bochner, was represented by Nicholas J. Guiliano, Esq. of the Law Offices of Nicholas J. Guiliano. Respondents Tucker Antho

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brenda M. Emmett and Brenda M. Emmett IRA, Claimants v. The Retirement Group, Frank A. Cuenca, Timothy C. Sullivan, FSC Securities Corporation, a subsidiary of Financial Service Corporation, Financial Service Corporation, Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation aka Donaldson, Lufkin & Jenrette Securities Corporation, Respondents Case Numbe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Doris Maceroni and Laura Trombley and Case Number. 02-00267 Hearing Site: Detroit, Michigan Respondents Leonard & Company, James W. McLellan and McLellan Capital NATURE OF DISPUTE Customers v. Member and Non-Member REPRESENTATION OF PARTIES Doris Maceroni and Laura Trombley ("Claimants") were represented by Anthony V. Trogan, Esq., and Lys

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelia Gay Bixsen, et al. v. Morgan Stanley Dean Witter and Heather Downs Case Number: 02-00190 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Shelia Gay Bixsen Jonathan W. Evans, Esq. Shelia Gay Bixsen Retirement Plan Trust Law Offices of Jonathan Shelia Gay Bixsen IRA W. Evans & Associates Los Angeles, California For Respondents: Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph P. Bourdeau and Sandra K. Bourdeau as Trustees for the Bourdeau Family Revocable Living Trust, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 01-03079 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Kevin J. Mirch, Esq. Mirch & Mirch Reno, Nevada For Respondent: Matthew Sala

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . nf the Claimant Pase Nnmhpr- 02-00147 Briolette Investment, Ltd. Respondents Hfflring Sitf Philadelphia, PA James W. O'Connor First Liberty Investment Group, Inc. Fiserv Correspondent Services, Inc., n/k/a Fiserv Securities, Inc. n Claimant, Briolette Investment, Ltd. ("Briolette"), hereinafter referred to as "Claimant", was represented by John E. Lawlor, Esq., Attorne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Networ^, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Netwonv, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04439, 01-04848, and 01-04854 First Union Securities Financial Network, Inc., f/k/a JW Genesis Financial Services, Inc., claimant vs. Alan Bergman, respondent. First Union Securities Financial Network, Inc., claimant vs. Edward Monahan, respondent. First Union Securities Financial Networ^, Inc., claimant vs. John Paul Schrader, respondent. ATTORNEYS: For Claimant appeared Gregory Tendrich, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald P. Foley 94-01956 Name of Respondents Tucker Anthony Incorporated James Devins REPRESENTATION For Claimant: Robert R. Berluti, Esq. of Robert R. Berluti and Associates, of Boston, MA. For Respondent Tucker Anthony Incorporated ("Tucker Anthony") and Respondent James Devins ("Devins"): Patrick J. Howley, Esq. of Tucke