NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06140 James L. Lewis and Kamaliah N. Lewis, Claimants v. Credit Suisse First Boston Corporation, Respondent. ATTORNEYS: Claimants, James L. Lewis and Kamaliah N. Lewis, ("Claimants"), appeared pro se, Torrance, CA. Respondent, Credit Suisse First Boston Corporation, ("Respondent"), appeared through their in- house counsel, Andrew L. Weinberg, Esq., New York, NY. NATURE OF DISPUTE: Cu

I* « Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kashmiri Lai Mahna (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Elliott M. Kugel (Respondents). Case Number: 03-06138 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Kashmiri Lai Mahna ("Mahna"), hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Eppenst

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant Robin Early and Case Number: 03-06135 Hearing Site: Houston, Texas Name of Respondent i Prudential Equity Group, LLC '. • 'i • i NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Robin Early ("Claimant") was represented by Joel H. Pullen, Esq., Law Offices of Joel H. Pullen, San Antonio, Texas. Prudential Equity

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Edward F. Devine, Helen Devine, ) Edward F. Devine and Helen Devine, ) Case Number.- 03-06133 Trustees of the Devine Revocable Trust, ) Claimants, ) Hearing Site: St. Louis, Missouri v. ) ) Royal Alliance Associates, Inc. ) Pines Financial Group, Inc. and ) SalvatoreM.Culella, ) Respondents. ) NATURE OF THE DISPUTE Customer vs. Member Firm, Assoc

Dispute Resolution, inc. NASD Dispute Resolution, Inc. ~ ~ In the Matter of the Arbitration Between f\\ FEB 1 1 2002 rtf PlaimantR Martin C. Purpi and Susan L. Purpi Case No. 01-01632 Raymond, James & Associates, Inc.; John O. Schreiber; and, Schreiber Investment Advisory Services Hearing Site.: Milwaukee, Wisconsin Claimants Martin C. Purpi and Susan L. Purpi were represented by Robert L. Elliot, Esq., located in Milwaukee, Wisconsin. R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert Dan Brown v. 03-06132 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and Jeffrey H. Peterson Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Robert Dan Brown ("Claimant") was represented by Chad P. Hemmat, Esq., of Anderson, Hemmat & Levine, L.L.C., Denver, Colorado. Morgan Stanley Dean Witter, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Roxanne Wermuth and David Wermuth and Case Number: 03-06130 Hearing Site: Troy, Michigan Respondents Fahnestock & Co., Inc., and Jeffrey D. Bishop NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Roxanne Wermuth and David Wermuth ("Claimants") were represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John R. Gehlbach ) Case Number: 03-06 1 29 Name nf the Respondents First Security Investments, Inc. and Bryan Robert Brush Hearing Site: St. Louis, Missouri MATMPF Customer vs. Member Firm and Associated Person MTATinM nF Phillip Montalvo, Esq. of the John R. Gehlbach Law Office, located in Lincoln, Illinois represented Claimant, John

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Eugene J. Gau and Kathleen R. Gau vs. 03-06124 Omaha, Nebraska Respondents GWR Investments, Inc. and Larry M. Pence Nature of the Dispute: Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Eugene J. Gau and Kathleen R. Gau ("Gaus") were represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. GWR Investments

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06117 Melvin Fein IRA DTD 3/12/01 Toby Fein IRA DTD 3/23/01 Melvin and Toby Fein, JTWROS Names of the Respondents Hearing Site: Boca Raton, FL Prudential Equity Group, LLC Mark Schreiber Edward Radosh Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin Fein IRA DT