Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carole M. Korzilius (Claimant) v. Prentice Securities, Incorporated, and Ronald John Scheucher, Louis Kornman, Barbara Jane Burke, and Michael Edward Tierney (Respondents) Case Number: 02-00448 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Carole M. Korzilius ("Korzilius") hereinafter refe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ronald Kevin Nagle and Kathleen Helen Nagie and Case Number: 02-00447 Hearing Site: Omaha, Nebraska Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Ronald Kevin Nagle and Kathleen Helen Nagle ("Claimants") appeared pro se. Charles Schwab & Co., Inc. ("Respondent") was represented by Richard A. Karoly, Esq., Charles A. Schwab &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Erwin J. Shustak and Andrea M. Shustak, Claimants v. John M. Clarey, Jr., Kenneth E. Dawkins, James F. Dlugosch, Thomas S. Nelson, Richard T. Plumstead, Joseph K. Halloran, Edward J. Hentges, Judith M. McKeand, Bradley R. Mehlhaff, and Jenny F. Lind, Respondents Case Number: 02-00443 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Madeline B. Papp and The Papp Living Trust v. Naushaba Rashid, Thomas E. Lhost, and Atlas Securities, Inc. Case Number: 02-00442 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Thomas Porter, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondents: Grace A. Carter, Esq. Pau

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wu Family Investment Partnership No. 1, L.P. vs. CIBC Oppenheimer Case Number: 02-00441 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Burton Mark Senkfor, Esq. Law Office of Burton Mark Senkfor Beverly Hills, California For Respondent: Peter M. Spett, Esq. Law Office of Peter Spett New York, New York CASE INFORMATION Statement

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00438 Steven Galler as Personal Representative of the Estate of Edward Galler Name of the Respondent Hearing Site: Boca Raton, Florida K.W. Brown & Co. d/b/a K.W. Brown Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Steven Galler as Personal Representative of the Estate of Edward

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00437 Donald B. Smith Name of the Respondent Hearing Site: New Orleans, Louisiana RBC Dain Rauscher, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald B. Smith, referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For RBC Dain Rauscher, Inc., referred

r Award NASD In the Matter of the Arbitration Between: Virginia E. Seeber, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 02-00436 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Virginia E. Seeber, hereinafter referred to as "Claimant": Steven Toskes, Esq., Klayman & Toskes, P. A., Boca Raton, FL. For A.G. Edwards & Sons, Inc. ("AG"), hereinafter referred to as "Respondent": David M. Minnick, Associate Vice-Presi

NASD Dispute Resolution Arbitration No. 02-00429 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rita L. Jewett, (Claimant) vs. Lincoln Life, Annuity Distributors, Inc., and Lincoln Financial Advisors Corp. (Respondents) Case Number: 02-00429 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Rita L. Jewett ("Jewett"), hereinafter referred to as "Claimant": Michael F. Drywa, Jr.,

I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00428 Wells Fargo Bank, N.A., claimant vs. Michael Poutre, respondent. ATTORNEYS: For Claimant appeared Jonathan D. Martin, Esq., of the firm Seyfarth Shaw, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: January 23, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on a promissory upon termination of his employ