Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Martin A. Klein, ffl, Claimant v. Prudential Securities, Inc., Respondent Case Number: 01-01313 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Martin A. Klein, ffl: J. Dorian Sonnenschein, Esq. Law Offices of J. Dorian Sonnenschein Irvine, California For Respondent Prudential Securities, Inc.: William M. Cassarini, Esq. Prudential Secu

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Names of Respondents Wachovia Securities, LLP, and Ian Hurwitz Case Number: 03-03491 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Jerry Mendelson and Plum Glen Partners LP ("Claimants 11 ) were represented by Annette Henry, Esq., Houston, Texas. Wachovia Se

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Full Service Travel Inc. v. 03-03490 Minneapolis, Minnesota Respondents Piper Jaffray & Company and James Broms Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Full Service Travel Inc. ("Claimant") was represented by JJ. Choromanski, Plymouth, Minnesota. Piper Jaffray & Company ("Piper Jaffray") and James Broms ("Broms"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James W. Falanga Names of the Respondents Morgan Stanley Dean Witter, Inc. James Musso Case Number: 03-03489 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James W. Falanga ("Falanga"), hereinafter referred to as "Claimant": Bruce V. Schewe, Esq., Phelps Dunbar LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03488 Virginia B. Flynn, Individually and as Trustee of the Virginia B. Flynn Revocable Trust Names of the Respondents Hearing Site: Orlando, FL A.G. Edwards & Sons, Inc. Kerry Constantine Geaneas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia B. Flynn, Individ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia B. Martin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Jon K. Finstrom (Respondents) Case Number: 03-03487 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Virginia B. Martin ("Martin") hereinafter collectively referred to as "Claimant": Sheldon H. Go

Stipulated Award NASD .Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Volterra International Corp., Sergio Foschini Elizabeth Decastro Names of the Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. Soraya Batista-Garcia Case Number: 03-03482 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Volterra Interna

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Matthew Ferris (Claimant) v. Thomas Weisel Partners, LLC (Respondent) Case Number: 03-03476 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant David Matthew Ferris ("Ferris") hereinafter referred to as "Claimant": John R. Climaco, Esq., Climaco, Lefkowitz, Peca, Wilcox & Garofoli, Co., LPA, Cleveland, OH.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Irene Hanna and Names of Respondents Merrill Lynch Pierce, Fenner & Smith, Inc., Merrill Lynch, and Nicholas G. Vassilakis Case Number: 03-03474 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Irene Hanna ("Claimant") was represented by Anthony V. Trogan, Esq.

AWARD NASD Dispute Resolution la the Matter of the Arbitration Between Claimant RBC Dain Rauscher, Inc. v. 03-03473 Minneapolis, Minnesota Respondent James F. Rennie Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Courtney M. Rogers, Esq., of Lindquist & Vennum, PLLP, Minneapolis, Minnesota. James F. Rennie ("Respondent") did not appear. CASE INFORMA