Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew J. Tine and Haese, LLC, (Claimants) vs. Morgan Stanley Dean Witter Online Inc., (Respondents) Case Number: 00-04219 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Andrew J. Tine ("Tine") and Haese, LLC ("Haese"), hereinafter collectively referred to as "Claimants": Rick Holland, Esq., Haese, LLC, Boston, MA. Respondent, Morgan Stanley Dean Witter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fase Number: 02-07407 W. Harwood Runner and Susan Runner; and, KANDE Partners, L.P. F p sp nr>Hpnts Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Feraier & Smith, Inc.; David H. Komansky; and, Deepak D. Raj PIT Claimants W. Harwood Runner and Susan Runner, and KANDE Partners, L.P., hereinafter collectively referred to as "Claimants": Jakes Jordaa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Tiger 12 Investment Club, the Elizabeth W. Martin Trust, and Sammie J. and Maxine Rhoades Name of the Respondents U.S. Bancorp Piper Jaffray, Inc., Kurt Johnson, and Frederick A. Magerkurth Case Number: 02-07406 Hearing Site: Kansas City, Missouri Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-07405 Joseph F. Hoedel Name nf the Respondents Hearing Site: St. Louis, Missouri Merrill, Lynch, Pierce, Fenner & Smith NTATTTRF O^ TUSPTTTF. Customer vs. Member Firm OF PAPT1T?.R Steven W. Koslovsky, Esq. of the Law Offices of Steven Koslovsky, LLP located in Maryland Heights, Missouri represented the Claimant, Joseph F. Hoedel, here

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Meyer and Yvonne D. Meyer and William C. Meyer as Custodian for William Robert Meyer (Claimants) v. Morgan Stanley DW Inc. and Robert D. Spina (Respondents) Case Number: 02-07404 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, William C. Meyer and Yvonne D. Meyer ("The Meyers") a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Christopher C. McGrann v. 02-07398 Minneapolis, Minnesota Respondent / Counter-Claimant First Albany Corporation Nature of Dispute: Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Christopher C. McGrann ("Claimant") was represented by Joseph W. Anthony, Esq., of Anthony Ostlund & Baer, P.A., Minneapol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07394 Anthony Tranchida Ronnie Tranchida Name of the Respondent Hearing Site: Boca Raton, Florida Noble International Investments, Inc. (a/k/a The Noble Financial Group) Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Anthony Tranchida and Ronnie Tranchida, hereinafter collectively referred to as "Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Victor F.Trahan,m Trahan Architects APAC Simple IRA Trahan Architects APAC SEP IRA Name of Respondent Stanford Group Company Name of Third-Party Respondent Henry J. Mills Case Number: 02-07391 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES For Victor F. Tr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant •' Roland H. Wenz ' ! . ' ,'. v. ' 02-07386, 1 Minneapolis, Minnesota Respondent > Morgan Stanley Dean Witter, Inc. fk/a Dean Witter Reynolds ( Inc. i i Nature of Dispute: Customer v. Member i REPRESENTATION OF PARTIES • ,' i, : : : Roland H. Wenz ("Claimant") was represented by Mark G. Ohnstad, Esq., of Thomsen & Nybeck, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William L. Stevens and Donna M. Stevens, Claimants Case Number- 02-07385 v. Robert M. Rose, Sarah Z. Burger and Financial Planning Consultants, Inc., Respondents Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimants, William L. Stevens and Donna M. Stevens ("Steve