AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James J. Daly i and Names of Respondents Morgan Stanley DW, Inc. and Michael T. Hopkins Case Number: 03-01392 Hearing Site: Detroit, Michigan Customer v. Member and Associated Person REPRESENTATION OF PARTIES James J. Daly ("Claimant") was represented by Patrick M. Hincks, Esq., and Desmond Patrick Curran, Esq., Law Offices of Sullivan Hin

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01389 Gary B. O'Quinn, Claimant vs. Wells Fargo Investments, LLC, and Bradley Thompson, Respondents. ATTORNEYS: Claimant, Gary B. O'Quinn, ("Claimant"), appeared pro se, Port Collins, CO. For Respondents, Wells Fargo Investments, LLC, and Bradley Thompson, (collectively "Respondents"), appeared Robert T. Sullwold, Esq., of the Law Offices of Sullwold & Hughes, San Francisco, CA. DATE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01388 Carmen I. O'Quinn, Claimant vs. Wells Fargo Investments, LLC and Rick Perkins, Respondents. ATTORNEYS: Claimant, Carmen I. O'Quinn appeared pro se, Fort Collins, CO. For Respondents, Wells Fargo Investments, LLC and Rick Perkins, appeared Robert T. Sullwold, Esq. of the firm Sullwold & Hughes, San Francisco, CA. DATE FILED: February 25, 2003 CASE SUMMARY: Claimant alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01387 Edward Stevens, Claimant vs. Quick & Reilly, Inc., Andrew Kiaer, and Michael Prendergast, Respondents. ATTORNEYS: Claimant, Edward Stevens, ("Claimant"), appeared pro se, Chicago IL. Respondents, Quick & Reilly, Inc., and Michael Prendergast, (collectively "Respondents") appeared through their in-house counsel, Matthew S. Diggins, Esq., New York, NY. Respondent, Andrew J. Kiaer, ("

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley A. Merchant IRA, Shirley A. Merchant c/f Jennifer DeMarco, Shirley A. Merchant c/f Alison Grandjean, Shirley A. Merchant c/f Robert DeMarco, and Shirley A. Merchant c/f Luke Grandjean (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kipp Hicks, and Larry Rose (Respondents) Case Number: 03-01384 Hearing Site: Cleveland, Ohio Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robin R. Madrigal and James M. Mosher., Claimants v. E*TRADE Securities, Inc., Respondent E*TRADE Securities, Inc., Counter-Claimant v. Robin R. Madrigal and James M. Mosher, Counter-Respondents Case Number: 00-04459 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants/Counter-Respondents Robin R. Madrigal and James M. Mosher: James M. Mosher In Prop

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants David Bradley Blue Chip Cash Flow Case No. 00-00444 Names of Respondents First Liberty Investment Group, Inc. Blake Lane Christopher Clem Eugene Stice Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For David Bradley ("Bradley") and Blue Chip Cash Flow ("Blue Chip"), hereinafter collectively referred to as "Claimants": M. Da

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles B. Boris and Carol A. Boris (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Lawrence Joseph Ramsay, and Rose Dorothy Wehmeyer (Respondents) Case Number: 03-01379 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Charles B. Boris and Carol A. Boris ("The Borises") here

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01378 Maxim Group LLC, Claimant/Counterclaim Respondent v. David L. Yusupov, Respondent/Counterclaimant. ATTORNEYS: For Claimant/Counterclaim Respondent, Maxim Group LLC, appeared Richard L. Rose, Esq., Woodbury, NY. For Respondent/Counterclaimant, David L. Yusupov, appeared Brendan R. Marx, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 25, 2003

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 03-01377 Maxim Group LLC, Claimant v. Denis Frelinghausen, Respondent. ATTORNEYS: For Claimant, Maxim Group LLC, ("Claimant"), appeared in-house counsel, Edward L. Rose, Esq., Woodbury, NY. Respondent, Denis Frelinghausen, ("Respondent"), appeared pro se, Darver, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 25, 2003 CASE SUMMARY: Claimant alleged that Responde