Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald E. Tendler and Carrie J. Tendler as Co-Trustees of the Tendler Family Trust dtd 5/14/90, Claimant v. J.P. Morgan Securities Inc., Derek C. Clark, Maurice G. Stuffinann, Jr., and Robert S. Simmons, Respondents Case Number: 02-05889 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marco A. Grijalva, and Rose M Grijalva, individually and as Trustees of the Grijala Family Trust and 02-05888 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Marco A. Grijalva, and Rose M Grijalva, individually and as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Pamela A. Miles Revocable Living Trust Pamela A. Miles, Trustee Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. andGuyB.Knapp Case Number- 02-05886 Hearing .Site." St. Louis, Missouri TVATTTRF OF TUSPTTTF. Customer vs. Member Firm and Associated Person REpPF.SIT.i TTH\ OF Stuart R. Berkowitz, Esq. of the law firm Platke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05880 Larry D. Cooper Names of the Respondents Hearing Site: Orlando, Florida Clearing Services of America, Inc. Donaldson, Lufkin & Jenrette Securities Corporation Pershing Trading Company, L.P. Dennis E. Sweenor David E. Larue REPRESENTATION OF PARTIES For Larry D. Cooper, referred to as "Claimant": R. Kyle Gavin, Esq. and Gedde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William Gregory and Dorene Priolo Barker Names of the Respondents John Mackie Al Goldman A.G. Edwards & Sons, Inc. Case Number: 02-05878 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For William Gregory and Dorene Priolo Barker, hereinafter referred to as "Claimant"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04060 James L. Tracey, Bryan K. Murtauch, John P. Sass and William J. Goodman Claimants vs. NI Securities Corp. and Michael E. Zulick, Respondents. ATTORNEYS: Claimants, James L. Tracey, Bryan K. Murtauch, John P. Sass and William J. Goodman ("Claimants") appeared Pro Se., through James L. Tracey, Belvidere, IL. For Respondents, NI Securities, Corp. and Michael E. Zulick (collectively

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE; 00-00422 Chester!. Derek, claimant vs. Gruntal & Co. Inc., respondent ATTORNEYS: Claimant appeared Pro Se, Saginaw, MI For Respondent Gruntal & Co. Inc. appeared in-house counsel, David Rappaport, Esq., New York, NY DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged respondent encouraged him to buy various, unsuitable in-house common stock. Claim Data Claim: $14,5

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi nf the darrngmt ("!ase Number 02-05876 James Dellorso, IRA p. nf the Respondents Hearing Site- Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. n/k/a Wachovia Securities, Inc. UFTPRFSFNTATTON OF PARTTFS Claimant, James Deilorso, IRA, hereinafter referred to as "Claimant", was represented by Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 02-05875 Rosa Tatano Trust Names nf the Respondents Hearing Site: Pittsburgh, PA Gerald Goodman Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. f/k/a Kemper/Everen Securities, Inc. n/k/a Wachovia Securities, Inc. REPRESENTATION OF PARTIES Claimant, RosaTatano Trust, hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Hai'mant Pase Number- 02-05874 RoyLeichty,IRA Names nf the Respondents Hearing Site: Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. First Union Securities, Inc. f/k/a Kemper/Everen Securities, Inc. n/k/a Wachovia Securities, Inc. REPRESENTATION OF PARTIES Claimant, Roy Leichty, IRA, hereinafter referred to as "C