Dispute Resolution, inc. NASD Dispute Resolution, Inc. ~ ~ In the Matter of the Arbitration Between f\\ FEB 1 1 2002 rtf PlaimantR Martin C. Purpi and Susan L. Purpi Case No. 01-01632 Raymond, James & Associates, Inc.; John O. Schreiber; and, Schreiber Investment Advisory Services Hearing Site.: Milwaukee, Wisconsin Claimants Martin C. Purpi and Susan L. Purpi were represented by Robert L. Elliot, Esq., located in Milwaukee, Wisconsin. R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert Dan Brown v. 03-06132 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Jeffrey H. Peterson Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert Dan Brown ("Claimant") was represented by Chad P. Hemmat, Esq., of Anderson, Hemmat & Levine, L.L.C., Denver, Colorado. Morgan Stanley Dean Witter, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Roxanne Wermuth and David Wermuth and Case Number: 03-06130 Hearing Site: Troy, Michigan Respondents Fahnestock & Co., Inc., and Jeffrey D. Bishop NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Roxanne Wermuth and David Wermuth ("Claimants") were represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John R. Gehlbach ) Case Number: 03-06 1 29 Name nf the Respondents First Security Investments, Inc. and Bryan Robert Brush Hearing Site: St. Louis, Missouri MATMPF Customer vs. Member Firm and Associated Person MTATinM nF Phillip Montalvo, Esq. of the John R. Gehlbach Law Office, located in Lincoln, Illinois represented Claimant, John

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Eugene J. Gau and Kathleen R. Gau vs. 03-06124 Omaha, Nebraska Respondents GWR Investments, Inc. and Larry M. Pence Nature of the Dispute: Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Eugene J. Gau and Kathleen R. Gau ("Gaus") were represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. GWR Investments

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06117 Melvin Fein IRA DTD 3/12/01 Toby Fein IRA DTD 3/23/01 Melvin and Toby Fein, JTWROS Names of the Respondents Hearing Site: Boca Raton, FL Prudential Equity Group, LLC Mark Schreiber Edward Radosh Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin Fein IRA DT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06112 John Robert Zalar Carolyne R. Zalar Carolyne Zalar and John Robert Zalar JTTEN Carolyne Rae Zalar IRA John R. Zalar-Nicholas Zalar Auto Supply, Inc. Name of the Respondent Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Robert Zal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RLR Management, LP, Claimant v. Goldman, Sachs and Co., Donaldson, Lufkin & Jenrette Securities Corporation n/k/a Pershing LLC and James D. Garrity, Respondents Case Number: 03-06109 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Goldman, Sachs and Co. Jeff Denn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06103 Laurence Pilgeram CUST, Claimant v. The Vanguard Group, Respondent. ATTORNEYS: Claimant, Laurence Pilgeram CUST, ("Claimant"), appeared pro se, Goleta, CA. Respondent, The Vanguard Group, ("Respondent"), appeared through its in-house counsel, Brian T. Donadio, Malvern, PA. NATURE OF DISPUTE: Customer v. Non-Member. DATE FILED: August 21, 2003. CASE SUMMARY: Claimant alleged tha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06102 Michael P. Goeben, Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., Respondent. ATTORNEYS: Claimant, Michael P. Goeben, ("Claimant"), appeared pro se, Green Bay, WL Respondent, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., ("Respondent"), appeared through their in-house counsel, Judith M. Rosenberg, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v