AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 00-03875 Scottsdale, Arizona Name of Respondent Michael A. Manfredi REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by David Y. Trevor, Esq., Dorsey & Whitney, LLP, Minneapolis, Minnesota. Michael A. Manfredi ("Respondent") was represented by James M. Jellison, Esq. } Schle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Roger T. Johnson v. 02-04599 Minneapolis, Minnesota Respondents RBC Dain Rauscher, Inc. and Bradley T. Smegal Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Roger T. Johnson ("Claimant") was represented by Eric J. Reinsche, Esq., of Felhaber, Larson, Fenlon & Vogt, P.A., Minneapolis, Minnesota. RBC Dain Rauscher, Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Samantha Stackhouse R. Kenneth Stackhouse Sean Stackhouse Names of the. Respondents Morgan Stanley DW Inc. William Ulivitch r 02-04597 Hearing Site- Philadelphia, Pennsylvania jqature of the Dispute: Customers vs. Member arid AssociatedTersoii. ~ KFPRF.SFNTATTON OF PARTIES Claimants, Samantha Stackhouse, R. Kenneth Stackhouse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the (71 aim ants Case Number: 02-04595 Gordon B. LeGrand, Gordon C. LeGrand, Charles W. LeGrand, Judith C. LeGrand, and Gordon B. LeGrand as Trustee of Raleigh Pathology Lab Associates, PA Profit Sharing Plan and Raleigh Pathology Lab Associates, PA Money Purchase Pension Plan Names nf the. Respondents Hearing Site 1 . Raleigh, North Carolina Goldman, Sa

Award 'NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04592 Wolfgang G. Dierschke Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wolfgang G. Dierschke, hereinafter referred to as "Claimant": Adam H. Smith, Esq., Adam H. Smith, P.A., Boca Raton, Florida. . #. - For Morgan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Skurla, Jr. 95-00822 Name of Respondents Robert J. Judge Glenn J. Bennett M. Rimson & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995 Claimant Stephen Skurla, Jr. ("Claimant"), who appeared Pro Se, alleged that he held account #16580839 with R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Sim 95-00819 Name of Respondents Josephthai Lyon & Ross Inc. Gregory Russell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant, Peter Sim, who appeared Pro Se, alleged that Respondents, Gregory Russell ("Russell") and Josephthai Lyon & Ross, Inc., ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Theodore H. Haskell 95-00818 Name of Respondent Kevin P. Gallagher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1995, Claimant Theodore H. Haskell ("Haskell"), who appeared Pro Se, alleged that on January 24, 1995, Respondent Kevin P. Gallagher ("Gallagher"), a registered r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles P. Wenzel 95-00816 Name of Respondents Schneider Securities, Inc. Daniel R. Lehl CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Charles P. Wenzel, who appeared Pro Se, alleged that Respondents Schneider Securities, Inc. ("SSI") and Daniel R. Leh

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. Names of Respondents Robert D. Keyser, Jr. and John T. Keyser John Hughes, Howard Feinmel, Paul Winkle, Chris Zafiroff, Al Poliak, Michael Winnick, Frank Vecchio 95-00814; 95-01118; 95-01217; 95-01264; 95-01295; 95-01533; 95-01534; 95-04973 REPRESENTATION ' . - ,