AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Charles and Carol Quenneville and 03-03042 Phoenix, Arizona Name of Respondents Berry-Shino Securities, Inc. Richard D. Sheneman > Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Charles and Carol Quenneville ("Claimants") were represented by Richard A. Nervig, Esq., Fallbrook, California. Berry-S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant ) Case Number 03-03039 Michael Ferman ) Name of thp Respondents ) Hearing Siie: St. Louis, Missouri A.G. Edwards & Sons, Inc., ) A.G. Edwards, Inc., and Compensation ) Committee of A.G. Edwards & Sons, Inc., ) Plan Administrator for the A.G. Edwards, Inc.) Excess Profit Sharing Deferred ) Compensation Plan, and Plan Administrator ) of the A.G. Ed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Rapisarda and Barbara Kathleen Rapisarda aka Barbara Contreras, Claimants v. RBC Dain Rauscher Inc. and Frank Orlando, Respondents Case Number: 03-03036 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven P. Chang, Esq. Wild Chang, Esq. Wild Chang & Chang City of Ind

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rajiv K. Aggarwal and Madhu Aggarwal, (Claimants) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-01255 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Rajiv K. Aggarwal ("R. Aggarwal") and Madhu Aggarwal ("M. Aggarwal"), hereinafter collectively referred to as "Claimants": Erwin Cohn, Esq., Cohn & Cohn, Chicago, IL. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paulson Investment Company, Inc. (Claimant) v. Epifanio Almodovar, Wossen Belay, Nicholas Ferrer, and Noel Yulfo (Respondents) Case Number: 03-03034 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Persons. , REPRESENTATION OF PARTIES Claimant Paulson Investment Company, Inc. ("Paulson") hereinafter referred to as "Claimant": Scott A. Shorr, Esq., pre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher J. Davis (Claimant) v. Wise A. Skillman, III, Samuel Sherr, and Mark Allen Lefkowitz (Respondents) Case Number: 03-03033 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Christopher J. Davis ("Davis") hereinafter referred to as "Claimant" appeared pro se. Respondent Samuel Sherr ("Sherr")

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Scott R. Nelson v. 03-03028 Denver, Colorado Respondents UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc., Ralph W. Ward and Alberto H. Brea Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Scott R. Nelson ("Claimant") was represented by Steven S. Kaufman, Esq., Thompson Hine, LLP, Cleveland

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ted H. Shaw I, : and Names of Respondents > Merrill Lynch Pierce Fenner & Smith, Inc., and Charles O. Hundley Case Number: Q3-03027 Hearing Site: Detroit, Michigan NATURE OF CASE ( i , , I ' . ' Customer v. Member and Associated Person 1 i • REPRESENTATION OF PARTIES Ted H. Shaw ("Claimant") was r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: er' 03-03024 Byron Kyle Ward il Hffi mng Sitp- Dallas, Texas Fidelity Brokerage Services LLC OT? TTfF Public Customer v. Member Firm RFPRFSFNTATTfW op PAPTTFS Claimant Byron Kyle Ward, hereinafter referred to as "Claimant": Appeared prose. Respondent Fidelity Brokerage Services LLC, hereinafter referred to as "Respondent": Cameron S. Mattheson, Esq. of the la

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant Erik I. Knudson and Jodi A. Knudson, John Phillipi, Steven M. Mclntyre and Loraine M. Mclntyre, and Sovereign Ventures, L.L.C. and 03-03022 Phoenix, Arizona Name of Respondents A.G, Edwards & Sons, Inc. < John Tate Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Erik I. Knudson and Jodi