Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur M. James, Claimant v. RBC Dain Rauscher Inc. and Eric P. Niedermeyer, Respondents Case Number 02-04165 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Christopher James, Esq. f The James Law Group LLC Portland, Oregon For Respondents: Jonathan M. Harris, Esq. Lindquist & Vennum

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Erena E. Duncan, individually, and as Trustee of the Erena E. Duncan Revocable Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Timothy H. Jobe, and Lilly C. Weeda, Respondents . Case Number: 02-04163 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES HI For Claimant: Devan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 02-04158 Anthony M. Arcaro Donna Arcaro Names of the Respondents Hearing Site: Tampa, Florida FSC Securities, Inc. John L. Csenge, Jr. REPRESENTATION OF PARTIES For Anthony M. Arcaro and Donna Arcaro, hereinafter collectively referred to as "Claimants": Craig P. Clendinen, Esq., Bales & Weinstein, P.A., Tampa, Florida and Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04154 Sanford J. Hall LydiaRHall Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Otto Heil James V. Davis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sanford J. Hall and Lydia H. Hall, hereinafter collectively referred to as "Claimants": P

CASE: 02-04153 Salomon Smith Barney Inc. and Eric R. Schwartz, claimants vs. Kurt Joerger and Janice Poretz, respondents. ATTORNEYS: For Claimants appeared in-house counsel Kathleen M. McCarthy, Esq., New York, NY. For Respondents appeared Marc D. Powers, Esq., of the firm Reed Smith LLP, New York, NY. DATE FILED: July 17, 2002 CASE SUMMARY: Claimants requested the expungement of Eric Schwartz' Central Registration Depository ("CRD") record which stemme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Angela Streater (Claimant) vs. Scotia Capital, Inc. and Scotia Capital, (USA), Inc., (Respondents) Case Number: 02-04149 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Angela Streater ("Streater") hereinafter referred to as "Claimant": Rachel L. Simon, Esq., Boundas, Skarzynski, Walsh & Black, LLC, New York, NY. Respondents, Scotia Capital, Inc. and Scotia

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael C. Low, Claimant v. Sutro & Co., Inc., Paul Alan Yenofsky and Holman Chin, Respondents Case Number: 00-02828 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Michael Huberman Michael Huberman & Associates La Quinta, California For Respondents: Peter R. Boutin, Esq. Keesal, Young & Logan San Francisco, California CASE I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cynthia White and Case Number: 02-04141 Hearing Site: Southfield, Michigan Names of Respondents Medallion Equities, Inc., Phyllis J. Wordhouse, Wordhouse Financial Legacy Planning, Southern Capital Securities, Inc., Robert G. Sullivan, Pamela S. LaMarsh, Benny B. Hampton, and Robert G. Russell, III NATURE OF DISPUTE Customer v. Terminated Memb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Naresh P. Singh, individually, and as Trustee of the Singh Revocable Trust, The Pulmonary Assoc. Profit Sharing Plan and Trust, and the Narayan Blackburn Education Trust, Claimants v. Charles L. Magruder and Morgan Stanley DW, Inc. (f/k/a Morgan Stanley Dean Witter & Co.), Respondents Case Number: 02-04140 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Custome

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John C. Stewart and John C. Stewart, Trustee of the John C. Stewart Trust (Claimants) v. First Merit Securities, Inc., Glenn C. Grimm, First Merit Trust Company, Jeffery P. Onuska, and Daniel Miltner (Respondents) Case Number: 02-04139 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, John C. Stewart ("John C. Stewart") and John C. Stewart, Trustee of the John C