Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacques Bolivar, Claimant v. Robert Van Securities, Inc., Respondent Case Number: 02-04627 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES • For Claimant: Jacques Bolivar Oakland, California , For Respondent: Cherie G. Porter Jones Law Group Walnut Creek, California CASE INFORMATION Statement of Claim filed: September 5, 2002 Claimant's Response

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fumio Onda and Wendy Y. Wen, Claimants v. JB Oxford & Company and Frederick Lu, Respondent Case Number: 02-04620 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants: Chyong-Yao Ho, Esq. Law Offices of Ho & Associates Pasadena, California For Respondent JB Oxford & Company: Jeffrey S. Kob, Esq. Miller Milove & Kob San Diego, California For Respo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Karen Ann Warner and Karen Ann Warner Living Trust and Case Number: 02-04613 Hearing Site: Detroit, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc., David Boor and Dennis Gabel NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Karen Ann Warner and Karen Ann Warner Living Trust ("Claimants")

Award NASD Dispute Resolution In theMatter 01 the Arbitration Between: Names of the Claimants Case Number: 02-04609 Zbigniew Rosikon & Malgorzata Wo'ldanska Name of the Respondent Hearing Site: Boca Raton, Florida Josephthal & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Zbigniew Rosikon ("Rosikon")and Malgorzata Woldanska ("Woldanska"), hereinafter referred to as "Claimants": David R. Chase, Law Offices of

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 00-03875 Scottsdale, Arizona Name of Respondent Michael A. Manfredi REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by David Y. Trevor, Esq., Dorsey & Whitney, LLP, Minneapolis, Minnesota. Michael A. Manfredi ("Respondent") was represented by James M. Jellison, Esq. } Schle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Roger T. Johnson v. 02-04599 Minneapolis, Minnesota Respondents RBC Dain Rauscher, Inc. and Bradley T. Smegal Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Roger T. Johnson ("Claimant") was represented by Eric J. Reinsche, Esq., of Felhaber, Larson, Fenlon & Vogt, P.A., Minneapolis, Minnesota. RBC Dain Rauscher, Inc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Samantha Stackhouse R. Kenneth Stackhouse Sean Stackhouse Names of the. Respondents Morgan Stanley DW Inc. William Ulivitch r 02-04597 Hearing Site- Philadelphia, Pennsylvania jqature of the Dispute: Customers vs. Member arid AssociatedTersoii. ~ KFPRF.SFNTATTON OF PARTIES Claimants, Samantha Stackhouse, R. Kenneth Stackhouse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the (71 aim ants Case Number: 02-04595 Gordon B. LeGrand, Gordon C. LeGrand, Charles W. LeGrand, Judith C. LeGrand, and Gordon B. LeGrand as Trustee of Raleigh Pathology Lab Associates, PA Profit Sharing Plan and Raleigh Pathology Lab Associates, PA Money Purchase Pension Plan Names nf the. Respondents Hearing Site 1 . Raleigh, North Carolina Goldman, Sa

Award 'NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04592 Wolfgang G. Dierschke Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wolfgang G. Dierschke, hereinafter referred to as "Claimant": Adam H. Smith, Esq., Adam H. Smith, P.A., Boca Raton, Florida. . #. - For Morgan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Skurla, Jr. 95-00822 Name of Respondents Robert J. Judge Glenn J. Bennett M. Rimson & Co.,Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995 Claimant Stephen Skurla, Jr. ("Claimant"), who appeared Pro Se, alleged that he held account #16580839 with R