Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 03-05037 Emmett and Deborah Lescroart Emmett Lescroart, IRA Name nf the Respondent Hearing Site- Philadelphia, PA Goldman, Sachs and Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Emmett and Deborah Lescroart and Emmett Lescroart, IRA, hereinafter collectively referred to as "Claimants", were

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William and Mary McEhvee and 03-05030 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Incorporated Louis M. Kornman Spencer D. Thomas A. PLUMM Company Nature of the Dispute: Customer vs. Terminated Member, Associated Persons and Non-Member. REPRESENTATION OF PARTIES William and Mary McElwee ("Claimants") were represented by Patr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant r.flgg Niimher; 03-05025 Maurice Arnold Name of the Respondent Hearing Site: Philadelphia, PA Morgan Stanley DW S Inc. f/n/a Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Maurice Arnold, hereinafter referred to as "Claimant", was represented by Scott F. Waterman, Esq., Black & Associ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fahnestock & Co. Inc. Name of the Respondent Miguel A. Rivera Name of Third Party Respondent Eric J. Shames Case Number: 03-05021 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES •> -•••• For Fahnestock & Co. Inc., hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jean A. Wharton, Trustee for the Dr. Jean A. Wharton Trust and Dr. Jean Wharton IRA, Claimants v. George J. Van Dalen, Jr., and Jarmey Montgomery Scott LLC, Respondents Case Number: 01-01522 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES For Claimants: Alan F. Hall, Esq. Alan F. Hall and Associates, P.S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05020 Marjorie Paisley, individually and as the beneficiary of the Marjorie Paisley IRA Name of the Respondent Hearing Site: Boca Raton, Florida Sosnowy Investment Management Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marjorie Paisley, individually and as the beneficiary of the Marjorie Paisley

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Duell Family Trust and Albert C. and Mary H. Duell, Trustees and 03-05018 Phoenix, Arizona Name of Respondents U.S. Bancorp Piper Jaffray, Inc. Ronald A. Icabone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES The Duell Family Trust and Albert C. and Mary H. Duell, Trustees ("Claimant") was represented b

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants/Counter-Respondents Richard Thompson, Sherril Thompson, Co-Trustees, Richard Sherrill Thompson a/k/a Kay Rev Liv Tr UA DTD 09/17/97, and Tucker Anthony, Inc., C/F Richard Thompson IRA Rollover DTD 11/05/99 and Respondents/Counter-Claimants RBC Dain Rauscher Inc., and Francis R. Plummer Case Number; 03-05017 Hearing Site: Detroit, Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Robert E. Jamison, Individually and as Custodian of Liz Jamison and Margaret Jamison Name of the Respondents A.G. Edwards & Sons, Inc. Gerald Orville Bevens, Jr. i" 03-05015 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. KFPKFSPNTATTON OF PAttTTRS Claimants, Robert E. Jamison, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05013 Sheldon Leventhal, TTEE Sheldon Leventhal Shari Leventhal Arrel Enterprises, Inc. Names of the Respondents Hearing Site: Boca Raton, FL Citigroup Global Markets, hie. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sheldon Leventhal, TTEE ("SL TTEE"), Sheld