NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07282 Grace E. Deel, claimant vs. James Edward Mayer, Jr. and A.G. Edwards & Sons, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Orwell, OH. For Respondents appeared in-house counsel Michael Naccarato, Esq., St. Louis, MO. DATE FILED: December 2, 2002 CASE SUMMARY: Claimant alleged that respondents executed trades without her authorization, engaged in sales practice miscond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07278 Jim Day, Claimant vs. Howard B. Dettloff and VSR Financial Services, Inc., Respondents. ATTORNEYS: For Claimant, Jim Day, ("Claimant") appeared William F. Stute, of the firm Lindquist & Vennum P.L.L.P., Minneapolis, MN. Respondents, Howard B. Dettloff and VSR Financial Services, Inc., (collectively "Respondents") did not submit an answer to the Statement of Claim. DATE FILED: Decem

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07277 June Elizabeth Lang, Claimant vs. Gerrit Van Dijk Jr., CFP, Respondent. ATTORNEYS: Claimant appeared pro se, Palisade, CO. Respondent appeared pro se, Grand Junction, CO. DATE FILED: December 2, 2002 CASE SUMMARY: Claimant alleged that Respondent placed her into investments that were unsuitable for her investments goals. Claimant further alleged that Respondent invested a major

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard S. Phelps and Names of Respondents Wells Fargo Investments, Inc. David Whitworth Case Number: 02-07275 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Richard S. Phelps ("Claimant") of College Station, Texas, represented himself. Wells Fargo Investments, Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene N. Arterberry, Claimant v. Donald R. Bentley, James S. Gross, Larry R. Petty, Merrill Lynch Pierce Fenner & Smith, Renee L. Rudnick, Catherine T. Reese, Rittenhouse Asset Management, Inc. aka Rittenhouse Financial Services, Respondents Case Number: 02-07271 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member Firm, Non-Member Firm and Associated Persons RE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the DlainiantH Case Number 02-07269 Harold Nanney Vera Nanney nf the Kespfyndentg Hearing Site: Charlotte, NC Morgan Stanley DW, Inc. Robert Smith Michael Robinson Nature of the Dispute: Customers v. Member and Associated Persons. RFPRF.SFNTATTON OF PARTIES Claimants, Harold Nanney and Vera Nanney, hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of die Arbitration Between: Name of the Claimant Case Number: 02-07268 Albert E. Warner m Name of the Respondent Hearing Site: Tampa, Florida Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Albert E. Warner HI, hereinafter referred to as "Claimant", appeared pro se. For Charles Schwab & Company, Inc. ("Schwab 11 )} hereinafter referred to as "Respondent": Garrett R. Wynne, Corporate Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07266 Kimberly Eason Rozycki, and Carol K. Eason Names of the Respondents , Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc., Jack Grugin, and Jon Davidson REPRESENTATION OF PARTIES For Kimberly Eason Rozycki, and Carol K. Eason, hereinafter collectively referred to as "Claimants": James C. Clark, Esq. and Nick A.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Tristan Ishtar Bre-Elle Ishtar Names of the Respondents Morgan Stanley DW, Inc. Theodore Vaughan Steve Schelling John Slack Customers v. Member and Associated Persons Case Number: 02-07264 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Tristan Ishtar and Bre-Elle Ishtar, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07262 Linda Selden, Linda Selden Roth IRA, Linda Selden Rollover IRA and Linda Selden IRRA Names of the Respondents Hearing Site: Boca Raton, Florida Merri]! Lynch, Pierce, Fenner & Smith, Inc. and A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Selden, Linda Selden Roth IR