NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02686 Josephthal & Co,, Inc., Claimant v. Matthew F. Tenaglia, Respondent. ATTORNEYS: For Claimant, Josephthal & Co., Inc., ("Claimant"), appeared Eric I Shames, Esq., New York, NY. For Respondent, Matthew F. Tenaglia, ("Respondent"), appeared Michael Utilla, Esq. Brooklyn, NY. NATURE-OF DISPUTE: Member v: Associated-Person- DATE FILED: April 11, 2003 CASE SUMMARY: Claimant alleg

Stipulated Award NASD Dispute Resolution In the Matter .of the Arbitration Between: Harmony Thaler (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Paul Padovanni (Respondents) Case Number: 03-02685 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Harmony Thaler ("Thaler") hereinafter referred to as "Claimant": Greg Scott Goodman, Esq., Goodman & Goodman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: D.A. Davidson & Co., Claimant v. Kenneth J. Galimanis, Respondent Case Number: 03-02674 Hearing Site: Seattle, Washington Nature of the Dispute: Member Firm v. Associated Person REPRESENTATION OF PARTIES For Claimant: Andrew F. Rigel, Esq. Lane Powell Spears Lubersky LLP Seattle, Washington For Respondent: Kenneth J. Galimanis In Pro Per Seattle, Washington CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Klausman and Barbara J. Klausman, Claimants v. RBC D^in Rauscher, Inc. and Eric P. Niedermeyer, Respondents Case Number: 03-02673 Hearing Site: Port land, Oregon Nature of Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: Richard Layne Portland M. . Layne, Esq. & Lewis LLP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02669 Ronald J. Panarelli Name of the Respondent Hearing Site: Atlanta, Georgia Fahnestock & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ronald J. Panarelli, hereinafter referred to as "Claimant": Robert H. McKnight, Esq., Freed & Berman, P.C., Atlanta, Georgia. For Fahnestock & Co., Inc. ("Fahn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02667 Samuel L. Frierson Samuel L. Frierson IRA Names of the Respondents Hearing Site: Tampa, FL Josephthal & Co., Inc. Richard T. Corso Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Samuel L. Frierson and Samuel L. Frierson IRA, hereinafter referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Evelyn Mandelker, (Claimant) vs. Marvin Michael, Josephthal & Co., Inc. and Bear Stearns Securities Corp., (Respondents) Case Number: 00-04515 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Evelyn Mandelker ("Mandelker"), hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents, Marvin Michael ("Michael"), Jos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants David L. Eland and Jo Ann Eland and Name of Respondents American Express Financial Advisors and Kelly L. Diestler Case Number: 03-02664 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person. REPRESENTATION OF PARTIES David L and Jo Ann Eland ("Claimant"), was represented by ErwihCohn Esq., of Cohn &

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration between § § § KTRBY PURVIS, Individually and on behalf § of KATY PURVIS § § Claimant, § NASD# 03-02663 § v. § § LOIS S. CARTWRIGHT, KEITH A. MASON § and MERRILL LYNCH, PIERCE, FENNER & § SMITH, INC., § § Respondents. § NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants Kirb

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marvin Matson and Names of Respondents Commonwealth Financial Network Daniel Investment Group, Inc. and James E. Daniel Case Number: 03-02662 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Marvin Matson ("Claimant") was represented by James Eccleston, Esq.,