Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Williams Case No. 99-04904 Name 9f Respondents A.G. Edwards £ Sons, Inc. William J. Driscoll Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Robert Williams ("Claimant"), hereinafter referred to as "Claimant": Anthony P. Alessi, Esq., Concannon Law Offices, Marshfield, Massachusetts. Respondents, A.G. Edwards &

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant WELLS FARGO BROKERAGE SERVICES, LLC f/k/a NORWEST INVESTMENT SERVICES, INC. and 00-5530 Denver, Colorado Name of Respondents DOUGLAS H. HANSON REPRESENTATION OF PARTIES Wells Fargo Brokerage Services, LLC ("Claimant") was represented by Jonathan D. Bergman, Thomas P. Johnson. Davis, Graham & Stubbs, LLP, Denver, Colorado. Douglas H. Hanson (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen Delahunty, (Claimant) vs. Morgan Stanley Dean Witter f/k/a Dean Witter Reynolds, Inc., (Respondent) Case Number: 99-04899 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Karen Delahunty, hereinafter referred to as "Claimant": Thomas W. Bucci, Esq., Willinger, Shepro, Tower & Bucci, P.C., Bridgeport, Connecticut. Respondent Morgan Stanley Dean Witt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04893 Ronald A. Hurl, aid Joan L. Hurl, claimants vs. James Griffith Kaighin, Darlene Kay Rutledge, Henry Abraham Simon, Hung Huu Nguyen, Choice Investments, Inc., SWS Financial Services and Providential Securities, Inc. respondents. ATTORNEYS: Claimants appeared Pro Se., Portland, OR. For Respondents James Griffith Kaighin and Choice Investments, Inc. appeared Patrick Lanier, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Daniels and Susan Daniel, (Claimants) vs. Michael S. Huber and Waterford Capital, Inc. (Respondents]. Case Number: 99-04886 Hearing Site: Dallas, Texas REPRESENTATIQNQF PARTIES Claimants, David Daniels and Susan Daniels, ("Claimants"): Kevin P.Conway, Esq.: Conway & Conway, located in New York, New York. Respondent, Waterford Capital, Inc. ("Respondent Waterford"): G

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John V. Piraino Revocable Trust Case No. 99-04885 Names of Respondents A.G. Edwards & Sons, Inc. Randy S. Koontz REPRESENTATION OF PARTIES For John V. Piraino Revocable Trust, hereinafter referred to as "Claimant": John M. Scott, Esq. of the Everett Law Firm, Fayetteville, AR. For A.G. Edwards & Sons, Inc. ("AGE") and Randy S. Koontz ("Koontz"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04883 Robert Waltber and Martha Walther, claimants vs. Robert Cuillo and Glenn Michael Financial, Inc., respondents. ATTORNEYS: Claimants appeared pro se through Robert Walther, Cincinnati, OH. For Respondents appeared Lawrence R, Gelbet, Esq., New York, NY. DATE FILED: October 29, 1999 CASE SUMMARY: Claimants alleged that respondents purchased shares of stock without their aut

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey McGinley and Kristine McGinley, Claimants v. Salomon Smith Barney, Inc., Lee Tripodi, Ron Oliver and Dean Williams, Respondents Case Number: 99-04877 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondents: Linda R. Alpert, Esq. Salomon Sm

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Joel D. Kenwood, individually and as Trustee of the Joel D. Kenwood Revocable Trust Case No. 99-04876 Names of Respondents Dean Witter Reynolds, Inc. Stuart Bruce Gerber REPRESENTATION OF PARTIES For Joel D. Kenwood Revocable Trust ("Kenwood Trust") and Joel D. Kenwood, individually ("Kenwood"), hereinafter collectively referred to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael O*Malley, individually and as General Partner of Mark IV LLC Partnership; and Mark IV LLC Partnership. Case No. 99-04867 Hearing Site: Indianapolis, Indiana r Claim Bear, Stearns Securities Corp.; John H. Dawson & Associates, Inc.; Peter hi Cho; Simon Chong; John H. Dawson; Douglas F. Samuels; Ravindranath Yanamadula; Marc E. Willis; Daniel Hong; Deron C