Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Richard A. Hurles Nnmhftr 02-05344 Name nf thfi Respondent Gail M. Mackler-Carlino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person. RFPRFSFNTATTON OF PARTIES Claimant, Richard A. Hurles ("Hurles"), hereinafter referred to as "Claimant", was represented by Vincent J. Pancari, Esq., Kavesh, Pancari, Tedesco &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Name nf the Claimant Pagp Number 02-05332 United Securities Alliance, Inc. of the Respondents Hpan'ng Site* Pittsburgh, PA Harvey Cohen Cohen Financial Services, LLC Nature of the Dispute: Member vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, United Securities Alliance, Inc., hereinafter referred to as "Claimant", was represented by CaflaB;Minc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimant Case Number 02-05331 RBC Dain Rauscher, Inc. Name nf the Respondent Hearing Sitp- Pittsburgh, PA Edmund Kosakowsky Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant", was represented by Karl L. Marquardt, Esq., Dressier, Amery & Ross, P.C., New York, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Michelle Cardella, Claimants, Vs. TO Waterhouse Investor Services, Inc. Respondent. Case Number: 00-04001 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, David and Michelle Cardella, hereinafter collectively referred to as the "Claimants": Thomas J. Kimmell, Esq. of the firm Zarlengo & Kimmell, LLC, Denver, Colorado. Respon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05329 Name of Respondent/Counter-Ciaimant Deborah M. Nowacki i Consolidated with Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05330 Hearing Site: South

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05329 Name of Respondent/Counter-Ciaimant Deborah M. Nowacki i Consolidated with Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. (Successor by Merger to Tucker Anthony, Inc.) and Case Number: 02-05330 Hearing Site: South

* \ STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant United Securities Alliance, Inc. v. 02-05328 Denver, Colorado Respondent Nancy A. Hughes Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES United Securities Alliance, Inc. ("Claimant") was represented by Carla B. Minckley, Esq., of Birge & Minckley, P.C., Denver, Colorado. Nancy A. Hughes ("Respondent") appeared p

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mario and Mollie Munoz, Juan Porras, Magdelena Porras and Chris Pereyra and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch & Co., Inc., Henry J. Medina, and Medina & Medina Group Case Number: 02-05327 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm, Associated Person and Non-Members

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Oyeyemi Adedeji- Orolugbagbe and 02-5326 Milwaukee, Wisconsin Name of Respondent Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Oyeyemi Adedeji- Orolugbagbe ("Claimant") was represented by Mark E. Sanders, Esq. of Hailing & Cayo, S.C., located in Milwaukee, Wisconsin. Morgan Stanley Dean Witte

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert S.Treece v. 02-05325 Denver, Colorado Respondents Wells Fargo and Company, Wells Fargo Securities, Inc., Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, LLC, Dennis D. Thonvold and Tanya R. Mathews Nature of Dispute: Customer v. Members, Non-Members and Associated Persons REPRESENTATION OF PARTIES Robert S. Treece ("Claima