NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03734 James J. Close, Claimant vs. Wachovia Securities Financial Network, Inc., Respondent. ATTORNEYS: Claimant, James J. Close, ("Claimant"), appeared pro se, West Yarmouth, MA. Respondent, Wachovia Securities Financial Network, Inc., ("Respondent") appeared through its in-house counsel, David H. Jarvis, Esq., Richmond, VA. DATE FILED: May 21, 2003 CASE SUMMARY: Claimant alleged that Re

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., A Divison of Fahnestock & Co., Inc. (Claimant) vs. David E. Cundey vs. (Respondent) CIBC World Markets, Corporation (Third-Party Respondent) Case Number: 03-03732 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Associated Person Third-Party Claim: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Oppenhe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., A Divison of Fahnestock & Co., Inc. (Claimant) vs. David E. Cundey vs. (Respondent) CISC World Markets, Corporation (Third-Party Respondent) Case Number: 03-03732 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Associated Person Third-Party Claim: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Oppenheimer & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Klein & Myriam Gluck, JT Tenants Names of the Respondents Janney Montgomery Scott, LLC and Zvi Zim, an individual Case Number: 03-03723 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Klein & Myriam Gluck, JT Tenants, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Deworth Williams and Edward F. Cowle, Claimants v. RBC Dain Rauscher, Inc., Respondent Case Number: 03-03720 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Richard J. Leedy, Esq. Stephen L. Taylor, Esq. Attorneys at Law Salt Lake City, Utah For Respondent: Sharon J. Shumway, Esq. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray Weston and Caryl Weston as Trustees of the Murray and Caryl Weston Trust, Claimants v. Morgan Stanley DW Inc., James T. Green, and Northbrook Life Insurance Inc., Respondents Morgan Stanley DW Inc. and James T. Green, Cross-Claimants v. Northbrook Life Insurance Inc., Cross-Respondent Case Number: 03-03719 Hearing Site: Los Angeles, California Nature of the Dispute

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene M. Boyer, Trustee of Arlene M. Boyer Family Trust and Arlene M. Boyer, Claimant v. Morgan Stanley Dean Witter, Bruce Morley, and Robert H. Denton, Respondents Case Number: 03-03718 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Matthew R. Miller, Esq. Dreher Law Firm

-•» « 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ; : i NASD DISPUTE RESOLUTION, INC. MAR 1 3 ?Q03 | = L ... . ...J In the Matter of Arbitration Between: ) NASD-DRNo. 01-01351 BARBARA S. CRANE, Individually and On ) Behalf of the Bruce and Barbara S. Crane ) STPULATION AND AWARD IN FAVOR Trust, dated

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Christine March and Sandra M. White, Claimants v, Wedbush Morgan Securities, Inc. and Wendy Rea, Respondents v. Patricia Georgia French and Scott Key, Third Party Respondents Case Number: 00-0721 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimants David and Christine March: Richard S. Rosen, Esq. ("March") and Sandra M. White ("White")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Levin, M.D., trustee for the Norman Levin, M.D., Inc. Pension Plan, Norman Levin, M.D. for the Norman Levin, M.D. IRA, Gay R- Levin for the Gay R. Levin IRA, and Jeanette Margolin, Claimants v. Merrill Lynch, Pierce, Feimer & Smith Inc., Respondent Case Number: 03-03717 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES