Award NASD In the Matter of the Arbitration Between: Name of the-Claimant -Case Number: 01-05610 James F. Edwards Name of the Respondent Gruntal & Co., L.L.C. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For James F. Edwards, hereinafter referred to as "Claimant": Andrew Fulton, IV, Esq., Ward, Damon, Posner & Gilbert, P.A., West Palm Beach, Florida. For Gruntal & Co., L.L.C., hereinafter referred to as "Respondent": Donal

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John M. West, Trustee U/A Dated 07/25/1998, John M. West Living Trust and Sheila M. West, Trustee U/A Dated 07/25/1996, Sheila West Living Trust and Case Number: 01-05609 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith, inc. Brian Launstein Peter B. Kaidis REPRESENTATION OF PARTIES John M. West, Trus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05606 Annie L. Davenport Name of the Respondent Hearing Site: Atlanta, GA. Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For Annie L. Davenport, hereinafter referred to as "Claimant": C. Shawn Jones, Esq., Burroughs & Keene, LLC, Atlanta, GA. For Morgan Stanley DW, Inc. ("Morgan Stanley"), hereinafter referred to as "Respondent":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stephen W. Williams Names of the Respondents RBC Dain Rauscher, Inc. Creston C. Cutchall Case Number: 01-05603 Hearing Site: Oklahoma City, Oklahoma REPRESENTATION OF PARTTES Claimant Stephen W. Williams ("Claimant"): Kirk D. Fredrickson, Esquire, of McDonald & Fredrickson, P.C., Oklahoma City, Oklahoma. Respondent RBC Dain Rauscher, Inc. ("D

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Ida Finkelstein, Claimant v. Dean Witter Reynolds, Inc., n/k/a Morgan Stanley Dean Witter, Inc., and Louise Abrams, Respondents Case Number: 01-05602 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Estate of Ida Finkelstein, hereinafter referred to as "Claimant": John N. Buso, Esq., John N. Buso, P.A., West Palm Beach, FL. For Dean Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beauty Masters, Inc. through its President Albert Fraccola, (Claimant) v. Gilford Securities, Inc. and Keith Todd Fasano (Respondents) Case Number: 01-05594 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Beauty Masters, Inc ("BM"), through its President Albert Fraccola ("Fraccola"), hereinafter referred to as "Claimant": Edward H. Glenn, Esq., Zamansky & Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the. Claimant and flgp. NnmhpT- 01-05590 Alton Crusius, . nf rhp, Rp.spnnHp.nfs Cnnnter-ClaimantSj and Third-Party Claimants SunAmerica Securities, Inc., Scott A. Karosa, Name, nf Third-Party Rp.spnndp.nt Deanna Crusius, Hp.aring Site: Houston, Texas Claimant and Counter-Respondent Alton Crusius, hereinafter referred to as "Claimant," was represe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05587 Dennis Blake Name of the Respondent Hearing Site: Chicago, Illinois Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Claimant Dennis Blake appeared pro se. Respondent Charles Schwab & Co., Inc., "Respondent'* was represented by Sean B. Meehan, Esq. with Charles Schwab's legal department located in San Francisco, California.

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05586 Herbert Davidson, on behalf of his IRA as well as his Joint Account Judith F. Davidson Names of the Respondents Hearing Site: Boca Raton, Florida CffiC Oppenheimer & Co. John Layton Ashby William Louis Bingo Arthur W. Lewis REPRESENTATION OF PARTIES For Herbert Davidson, on behalf of his IRA as well as his Joint Account, and Judit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lemoine Skinner, HI, Claimant v. Donaldson, Lufkin & Jenrette Securities Corporation, Respondent Case Number: 01-05583 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Richard Sacks Novato, California For Respondent: Michael J. Lawson, Esq, Steefel Levitt & Weiss San Francisco, California CASE INFORMATION