Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Eunice J. Consalus Trust Name of the 'Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ase Number- 02-05754 Hearing .Site: Richmond, Virginia KF.PRF.SF.NTATTON OF PARTIES Claimant Eunice J. Consalus Trust, hereinafter referred to as "Claimant", was represented by Jan G. Ankrum, Trustee, West Point, Virginia. Respondent Merrill Lynch Pierce Fe

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION No. 00-04045 TIMOTHY and DONNA LARSON, and the marital community composed thereof; MARY LOU LaPffiRRE; DIANE M. PATELLI, and DONALD F. GRONOWICK, Claimants, v. DAIN RAUSCHER INCORPORATED; and WAYNE JOSEPHSON, Respondents. STIPULATED AWARD REPRESENTATION For Claimants: John Bender, HOLLAND & KNIGHT, LLP, 520 Pike Street, Ste. 2600, Seattle, WA 98101 For Respondents: Curt R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the f.laimant P.ase Number- 02-05750 Debra L. Tonti, Estate of Alfanso Tatano Name nf the Respondents Hearing Site: Pittsburgh, PA Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc., First Union Securities, Inc. c/o Wachovia Securities, Inc., and Gerald M. Goodman RFPRFSFNTATTON OF PARTTFS Claimant, Debra L. Tonti, Estate of Alfanso Tatano ("Tonti") her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam* nf the Claimant Case Number- 02-05748 Richard Sumney, IRA of the Respondents Hearing Site.- Pittsburgh, PA Gerald Goodman Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. RFPRF.SFNTATTON OF PAKTTF.S Claimant, Richard Sumney, ERA, hereinafter referred to as "Claimant", was represented by Stanley W. Greenfield, Esq., Greenfield & Kay, Pittsburgh, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pasft Niimher 02-05747 Angelo Tatano, d/b/a Refrigeration Care, Inc. 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, Angelo Tatano,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-05746 Lydia Corey, IRA Mame of the Respondents Hearing Site- Pittsburgh, PA Morgan Stanley DW, Inc., f.k.a. Dean Witter Reynolds, Inc. First Union Securities, Inc. n.k.a. Wachovia Securities, Inc. Gerald M. Goodman RFPRFSFNTATTON OF PARTIES Claimant, Lydia Corey, IRA , hereinafter referred to as "Claimant", was represented by Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05743 Donna M. Heatfield Barry M. Heatfield Donna M. Heatfield IRA Barry M. Heatfield IRA Names of the Respondents Hearing Site: Baltimore, MD Royal Alliance Associates, Inc. Shimshon Plotkin Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTRS Claimants, Donna M. Heatfield and Barr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Hai'mant Case Nnmher- 02-05742 Ralph C. Sanders Irrevocable Inter-Vivos Trust Name nfth^ Respondents Hearing Site: Charlotte, North Carolina Frederick R. Phillips, and Park Avenue Securities, LLC Name nf the Third-Party Respondent Sylvia B. Hayes RF.PRF.SFNTATTON OF PARTTFS Claimant Ralph C. Sanders Irrevocable Inter-Vivos Trust, hereinafter referred to as "C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen S. Bordener and Names of Respondents Morgan Stanley Dean Witter, Inc. James Phillip Hall and Glenn Stark Case Number: 02-05740 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Karen S. Bordener ("Claimant") was represented by D. Michael Kratchman, Esq., Rubenstei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James E. Rice vs. 02-05739 Nashville, Tennessee Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES James E. Rice ("Claimant" or "Rice") was represented by Mark J. Krudys, Esq., of Mark J. Krudys, PLC, Richmond, Virginia. Merrill Lynch Pierce Fenner & Smith, Inc.