Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loren Knicely and Loren Knicely as Trustee of the New Hope Cemetery Fund (Claimants) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and John Cochran (Respondents) Case Number: 02-07285 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Loren Knicely ("Knicely 9 ') and Lor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James and Janet Pfuelb (Claimants) v. Advest, Inc., Edward Carlsen, Sr., and Roger Faulring (Respondents) Case Number: 02-07283 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants James and Janet Pfuelb ("The Pfuelbs") hereinafter collectively referred to as "Claimants": Donald G. McGrath, Esq.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Beulah Granger, (Claimant) vs. Carlin Equities Corp. and Joseph Doria, (Respondents) Case Number: 00-04214 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Beuiah Granger, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Claimant originally appeared pro se. Respondent, Carlin Equities Corp. ("Carlin"), did not a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Jay Patel and Naresh Patel, (Claimants) vs. First Montauk Securities Corp. and Dhruva Sethna, (Respondents) Case Number: 00-00432 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, lay Pate! ("J. Patel") and Naresh Patel ("N. Patel"), hereinafter collectively referred to as "Claimants": John M. DeLaney, Esq., DeLaney & O'Connor, LLP, Syracuse, NY. Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07282 Grace E. Deel, claimant vs. James Edward Mayer, Jr. and A.G. Edwards & Sons, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Orwell, OH. For Respondents appeared in-house counsel Michael Naccarato, Esq., St. Louis, MO. DATE FILED: December 2, 2002 CASE SUMMARY: Claimant alleged that respondents executed trades without her authorization, engaged in sales practice miscond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07278 Jim Day, Claimant vs. Howard B. Dettloff and VSR Financial Services, Inc., Respondents. ATTORNEYS: For Claimant, Jim Day, ("Claimant") appeared William F. Stute, of the firm Lindquist & Vennum P.L.L.P., Minneapolis, MN. Respondents, Howard B. Dettloff and VSR Financial Services, Inc., (collectively "Respondents") did not submit an answer to the Statement of Claim. DATE FILED: Decem

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07277 June Elizabeth Lang, Claimant vs. Gerrit Van Dijk Jr., CFP, Respondent. ATTORNEYS: Claimant appeared pro se, Palisade, CO. Respondent appeared pro se, Grand Junction, CO. DATE FILED: December 2, 2002 CASE SUMMARY: Claimant alleged that Respondent placed her into investments that were unsuitable for her investments goals. Claimant further alleged that Respondent invested a major

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard S. Phelps and Names of Respondents Wells Fargo Investments, Inc. David Whitworth Case Number: 02-07275 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Richard S. Phelps ("Claimant") of College Station, Texas, represented himself. Wells Fargo Investments, Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arlene N. Arterberry, Claimant v. Donald R. Bentley, James S. Gross, Larry R. Petty, Merrill Lynch Pierce Fenner & Smith, Renee L. Rudnick, Catherine T. Reese, Rittenhouse Asset Management, Inc. aka Rittenhouse Financial Services, Respondents Case Number: 02-07271 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member Firm, Non-Member Firm and Associated Persons RE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the DlainiantH Case Number 02-07269 Harold Nanney Vera Nanney nf the Kespfyndentg Hearing Site: Charlotte, NC Morgan Stanley DW, Inc. Robert Smith Michael Robinson Nature of the Dispute: Customers v. Member and Associated Persons. RFPRF.SFNTATTON OF PARTIES Claimants, Harold Nanney and Vera Nanney, hereinafter collectively referred to as "Claimant