Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-02348 Lois Scaglione Name of the Respondents: Hearing Site: Cleveland, Morgan Stanley DW Inc. Ohio Laura Tomco REPRESENTATION OF PARTIES Claimant Lois Scaglione, hereinafter referred to as "Claimant": Brian P. Biggins, Brian P. Biggins & Associates Company, Rocky River, OH. Respondents, Morgan Stanley DW Inc. ("MSDW") and Laura Tomco

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James D. Dolan vs. H&R Block Financial Advisors, Inc. & Vince Mendiola Case Number: 02-02347 Hearing Site: Dallas, Texas NATURE OF DISPUTE Public Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, James D. Dolan, hereinafter referred to as "Claimant." Richard A. Lewins, Esq., Dallas, Texas. Respondents, H&R Block Financial Advisors,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven B. Brenner and Liliana A. Brenner, as individuals, beneficiaries and trustees of the following accounts: Steven B. Brenner; Liliana A. Brenner; LMJ Brokerage Corp.; LMJ Brokerage Corp. Retirement Trust; Ten County Risk Managers, Inc.; Ten County Risk Managers, Inc. Defined Benefit Pension Plan; Realty Advisory & Management Associa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02336 American Express Financial Advisors, claimant vs. April Lynn Doody, respondent. ATTORNEYS: For Claimant appeared, Anthony J. Gericke, Minneapolis, MN. Respondent did not respond to the Statement of Claim. DATE FILED: April 22, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay the outstanding debit balance on her trading account. Claimant maintained that due to res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of tfrfi Claimants Pag^ Number 02-02330 Sheila S. Smith, IRA Sheila S. Smith, Revocable Living Trust Names nf fly* tt respondents Hearing Site: Richmond, VA First Union Securities, Inc. n/k/a Wachovia Securities, Inc. Donald E. Mosman, Jr. Nature of the Dispute: Customers v. Member and Associated Person. RFPRFSF,NTATTON OF PARTTFS Claimants, Sheila S. Smith, IR

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pfl^Niimhpr: 02-02328 Vincent A. Dominianni Debra Dominianni Vincent Dominianni as custodian for Marc Dorninanni Mames nf the ResponHpnts Rearing Site- Philadelphia, PA Raymond James Financial Services, Inc. Devon Financial Group Michael T. DiPuppo Kevin M. Trainor Nature of the Dispute: Customers vs. Member and Associated Person

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael Morse Name of the Respondent Morgan Stanley DW, Inc. Case Number: 02-02325 (Consolidated with 02-02800) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Names of the Claimants Margaret Morse Irrevocable Trust Wendy Morse Names of the Respondents Morgan Stanley DW, Inc. Guillermo M. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Harry M. Lehrer, DDS One Brave Enterprise, Inc. Names of the Respondents Michael Sherman Morgan Stanley Dean Witter Prime Charter Ltd. Ladenburg Thalmann & Co., Inc. Case Number: 02-02320 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Harry M. Lehrer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elaine Darling-Cummings as Trustee for the Darling-Cummings Gift Trust (Claimant) v. Adolph Komorsky Investments, Marc Komorsky, and Peter W. Adolph (Respondents) Case Number: 02-02310 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Elaine Darling-Cummings as Trustee for the Darling-Cummings Gift

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of Claimants John A. Sims, individually and as trustee of the John A. Suns IRA Laura F. Sims, individually and as trustee of the Laura Sims IRA Case No. 00-02601 Name of Respondent Aragon Financial Services, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John A. Sims, individually and as trustee of the John A. Sims IRA, and Laura F. Sims,