Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Meyer and Yvonne D. Meyer and William C. Meyer as Custodian for William Robert Meyer (Claimants) v. Morgan Stanley DW Inc. and Robert D. Spina (Respondents) Case Number: 02-07404 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, William C. Meyer and Yvonne D. Meyer ("The Meyers") a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Christopher C. McGrann v. 02-07398 Minneapolis, Minnesota Respondent / Counter-Claimant First Albany Corporation Nature of Dispute: Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Christopher C. McGrann ("Claimant") was represented by Joseph W. Anthony, Esq., of Anthony Ostlund & Baer, P.A., Minneapol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07394 Anthony Tranchida Ronnie Tranchida Name of the Respondent Hearing Site: Boca Raton, Florida Noble International Investments, Inc. (a/k/a The Noble Financial Group) Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Anthony Tranchida and Ronnie Tranchida, hereinafter collectively referred to as "Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Victor F.Trahan,m Trahan Architects APAC Simple IRA Trahan Architects APAC SEP IRA Name of Respondent Stanford Group Company Name of Third-Party Respondent Henry J. Mills Case Number: 02-07391 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES For Victor F. Tr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant •' Roland H. Wenz ' ! . ' ,'. v. ' 02-07386, 1 Minneapolis, Minnesota Respondent > Morgan Stanley Dean Witter, Inc. fk/a Dean Witter Reynolds ( Inc. i i Nature of Dispute: Customer v. Member i REPRESENTATION OF PARTIES • ,' i, : : : Roland H. Wenz ("Claimant") was represented by Mark G. Ohnstad, Esq., of Thomsen & Nybeck, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Stevens and Donna M. Stevens, Claimants Case Number- 02-07385 v. Robert M. Rose, Sarah Z. Burger and Financial Planning Consultants, Inc., Respondents Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants, William L. Stevens and Donna M. Stevens ("Steve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trident Partners, (Claimant) v. American Capital Partners, LLC, James Dolan, Daniel Dvorznak, Nicholas Tsikitas, Kenneth Severinsen, Anthony Salamone, and Thomas Allegra, (Respondents) Case Number: 02-07383 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Trident Partners, hereinafter referred to as "Claimant": Eugene L. Small, Esq., Alonso, Andalkar & Kahn,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nampnf the Claimants Case Number- 00-04218 Steven Helzner and Paula Helzner ^ nf the Respondents Hearing Site:- Philadelphia, Pennsylvania Paul M. Price, and Ferris, Baker Watts, Incorporated. RRPRFSFNTATTON OF PARTTFS Claimants, Steven Helzner ("S. Helzner") and Paula Helzner ("P. Helzner"), hereinafter collectively referred to as "Claimants" were represented by Steven M. Drano

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter M. Brown, Claimant v. Erika Komarck and Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondents Case Number. 02-07382 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Offices of Jonathan Schwartz Marina Del Rey, California For

NASD Dispute Resolution In the Matter of the Arbitration Between: __ _ -.-....____... John M. Flood, individually and as trustee on behalf of the John M. Flood Living Trust. John M. Flood SEP, and John M. Flood SEG/IRA, Claimants v. US Bancorp Piper Jaffray, Inc., Paul T. Adams, and Russell G. Godt, Respondents Case Number: 02-07378 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PA