Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fhf Plgimflnt Pggp Tsfrjpihgi- 02-04280 MonaGildner ' n f th p P ^po^fnts' H^p^ng ^ tf " Milwaukee, Wisconsin Christopher Thorn, Morgan Stanley Dean Witter Inc., and Prudential Securities Inc. Nature of the Dispute: Customer vs. Members and Associated Person OF Claimant Mona Gildner.hereinafter referred to as "Claimant": James Bolt, Esq., Ladd, Milaege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Elena Raney, Jerome Shane Raney, individually and as trustees, custodians or beneficiaries of the Jerome Shane & Laura Elena Raney Revocable Trust, dated August 11,1998, Jerome R. Raney IRA, JVR Inc. Retirement Trust Agreement, dated March 26, 1996, Laura Raney IRA, Vintage Mortgage Group 401(K) Profit Sharing Plan & Trust dated December 27, 2000, and Laura Raney for Sarah Rose U/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin S. Hausman, Claimant v. A.G. Edwards & Sons, Inc., Respondent A.G. Edwards & Sons, Inc., Respondent/Third Party Claimant v. Wendy Feldman Pumer, Third Party Respondent Case Number: 02-04275 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Anthony J. Da

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02849 David G. Wilkening, Claimant vs. Associated Investment Services, Inc., Respondent. ATTORNEYS: Claimant, David G. Wilkening, ("Claimant"), appeared Pro Se, Oshkosh, WI. For Respondent, Associated Investment Services, Inc., ("Respondent"), appeared, Michael H. Schaalman, Esq., of the firm Quarles & Brady, LLP, Milwaukee, WI. DATE FILED: July 5, 2000 CASE SUMMARY: Claimant alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roberta Baiter, Claimant v. RBC Dain Rauscher Inc., Respondent Case Number: 02-04273 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David C. Buxbaum, Esq. Anderson & Anderson LLP Hong Kong, China Jerome DePalma, Esq. Las Vegas, Nevada For Respondent: Michael M. Gless, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Violet Harmon, Claimant v. Kirlin Securities, Inc., formerly doing business as M.S. Farreli & Co., Inc., Respondent Case Number: 02-04272 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David Harrison, Esq. David Spivak, Esq. Spivak & Harrison Los Angeles, California For Respondent: Isaac M. Zuck

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph M. Parisi, Trustee on behalf of the Marie Paris! Life Insurance Trust (Claimant) v. J.P. Turner & Company, LLC and Mitchell Sloane (Respondents) Case Number: 02-004268 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph.M. Parisi, Trustee on behalf of the Marie Parisi Life Insurance Trust

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy Mahoney and Steven McCormack, Claimants v. Goldis Financial Group, Inc., G&G Agency Ltd and Steven Goldis, Respondents Case Number: 02-04266 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Timothy Mahoney ("Mahoney") and Steven McCormack ("McCormack"), hereinafter collectively referred to as "Claimants": Joseph F. Keenan, Esq., McCanliss & Ea

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04264 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Donald Balduc REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New Jersey. Donald Balduc, hereinafter referred to as "Respondent," appe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manuel A. Packnet (Claimant) v. Pruco Securities Corporation (Respondent) Case Number: 02-04261 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Manuel A. Packnet ("Packnet") hereinafter referred to as "Claimant" appeared pro se. Respondent Pruco Securities Corporation ("Pruco") hereinafter referred to as