Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marjorie A. Minor, Claimant vs. Everen Securities, Inc., formerly known as Kemper Securities, now known as First Union Securities, Inc.; and James Brian Panenka, Respondents. Case Number: 99-04914 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Marjorie A. Minor, "Minor", hereinafter referred to as "Claimant", was represented by Paul Erickson, Esquir

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Bunce and Sharilyn Bunce, (Claimants) vs. Lloyd Wade Securities, Inc., Glenn S. LaFaye and J. Ralph Ewing, (Respondents). Case Number: 99-04911 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES David Bunce and Sharilyn Bunce: Richard Sacks Investors Recovery Service Novato, California. Lloyd Wade Securities Inc.: David Graven, Esq. Lloyd Wade

08/19/02 MON 12:55 FAX NASD REGULATION 1009 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: FRANK J. SPADAFORE AND CAROL A. HESS, Claimants, v. RICHARD W. BOURGON, PARTNERS SECURITIES, INC., MARINER FINANCIAL SERVICES, INC,, RICHARD BOURGON, L WILL PAULL, CLARK R COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, and KENNETH D. WARNICK, Respondents, Case Number: 99-04909 Hearing Site

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Calvin W. Newport Case No. 99-04908 Hearing Site: Oklahoma City, OK Name of Respondents Prudential Insurance Company of America, Inc., John D. Shields REPRESENTATION OF PARTIES Claimant Calvin W. Newport ("Newport") was represented by Brian J. Rayment, Esq. of Kivell, Rayment, and Francis, located in Tulsa, Oklahoma. Respondents Prudential I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Muriel Hecht Revocable Trust Case No. 99-04907 Names of Respondents Preferred Securities Group, Inc. Victor Lessinger Anthony J. Rotonde Jeffrey Malken Richard S. Fleischner Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Muriel Hecht Revocable Trust, hereinafter referred to as "Claimant": Patricia A. Shub, Esq., Fort

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04905 Thomas DiCecco, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant Thomas DiCecco ("Claimant"), appeared Pro Se., Glenn Mills, Pennsylvania. For Respondent Ameritrade, Inc. ("Respondent"), James H. Vihstadt, regulatory attorney for Ameritrade, Inc., Believue, Nebraska. DATE FILED: 11/01/1999 CASE SUMMARY: Claimant maintained that on June 16, 19

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Williams Case No. 99-04904 Name 9f Respondents A.G. Edwards £ Sons, Inc. William J. Driscoll Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Robert Williams ("Claimant"), hereinafter referred to as "Claimant": Anthony P. Alessi, Esq., Concannon Law Offices, Marshfield, Massachusetts. Respondents, A.G. Edwards &

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant WELLS FARGO BROKERAGE SERVICES, LLC f/k/a NORWEST INVESTMENT SERVICES, INC. and 00-5530 Denver, Colorado Name of Respondents DOUGLAS H. HANSON REPRESENTATION OF PARTIES Wells Fargo Brokerage Services, LLC ("Claimant") was represented by Jonathan D. Bergman, Thomas P. Johnson. Davis, Graham & Stubbs, LLP, Denver, Colorado. Douglas H. Hanson (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen Delahunty, (Claimant) vs. Morgan Stanley Dean Witter f/k/a Dean Witter Reynolds, Inc., (Respondent) Case Number: 99-04899 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Karen Delahunty, hereinafter referred to as "Claimant": Thomas W. Bucci, Esq., Willinger, Shepro, Tower & Bucci, P.C., Bridgeport, Connecticut. Respondent Morgan Stanley Dean Witt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04893 Ronald A. Hurl, aid Joan L. Hurl, claimants vs. James Griffith Kaighin, Darlene Kay Rutledge, Henry Abraham Simon, Hung Huu Nguyen, Choice Investments, Inc., SWS Financial Services and Providential Securities, Inc. respondents. ATTORNEYS: Claimants appeared Pro Se., Portland, OR. For Respondents James Griffith Kaighin and Choice Investments, Inc. appeared Patrick Lanier, Esq.