Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurie Hillebrand and Thomas A. Hillebrand, and Thomas A. Hillebrand as Trustee of the Thomas A. Hillebrand Profit Sharing Plan and Trust (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Gerald P. Santenello (Respondents) Case Number: 02-07473 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kim Marie Vescova (Claimant) v. Southwest Securities, Inc. n/k/a SWS Securities, Inc., Southwest Securities Group, Inc., Brokers Transaction Services, Inc. n/k/a SWS Financial Services, Inc., Michael Aspler, Robert Mitchell, and Mark Kern (Respondents) Case Number: 02-07470 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Members, Non-Member, and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07469 Richard C. Keibler Sharlie M. Keibler Names of the Respondents Hearing Site: Boca Raton, FL James Albert Barry, Jr. Richard Charles Jeppson Asset Management Securities Corp. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard C. Keibler ("RCK") and Sharlie M. K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07467 Corina Montalvo Jose, Rafael Montalvo Name of the Respondent Hearing Site: Boca Raton, Florida Donaldson, Lufkin & Jenrette Securities Corporation Nature of the Dispute: Customer vs. Member. t REPRESENTATION OF PARTIES For Corina Montalvo and Jose Rafael Montalvo, hereinafter collectively referred to as "Claimants": Curtis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07466 William F. Saunders, n Name of the Respondent Hearing Site: Atlanta, Georgia Fiserv Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For William F. Saunders, II, hereinafter referred to as "Claimant": Joseph A. DeMaria, Esq. and Jeffrey Tew, Esq., Tew Cardenas, LLP, Miami, Florida.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07463 Nancy Kanzer, TTEE, U/A dtd 7/3/00 for The Nancy Kanzer Revocable Trust, claimant vs. Edward D. Jones & Co. and Christopher J. Yanson, respondents. ATTORNEYS: Claimant appeared pro se, Boca Raton, FL. For Respondents appeared Bradford B. Lear, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. DATE FILED: December 11, 2002 CASE SUMMARY: Claimant alleged that re

\ AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant June M. Goltz and 02-07457 Milwaukee, Wisconsin Name of Respondents Edward Jones and Richard R. Alsteen REPRESENTATION OF PARTIES Nature of the Dispute: Customer vs. Member and Associated Persons June M. Goltz ("Claimant") or ("Goltz") was represented by Mark J. Mahoney, Esq. of Cassiani Law Offices, located in Black Creek, Wisconsin. Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judd E. Kemp and Judy S. Kemp v. Merit Capital Associates, Inc., Bear, Stearns Securities Corp., and Oliver Claude Ware III, Respondents Case Number: 00-04224 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: For Respondents Bear, Stearns Securities Corp. & Merit Capital Associates, Inc.: For Respondent Oliver Claude Ware III: James D. G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jamil Hodaly, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 02-07456 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert M. Moss, Esq. Law Offices of Robert M. Moss, Inc. Santa Monica, California For Respondent: John L. Erikson, Jr., Esq. Robert J. Girard, Esq. Jon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07455 Margaret E. Jahnke, Claimant vs. Norman Amos Maust and ProEquities, Inc. Respondents. ATTORNEYS: For Claimant, Margaret E. Jahnke ("Claimant") appeared John William Davis, Jr. Esq. of the Law Offices of Davis & Roose, Goshen, IN. For Respondents, Norman Amos Maust and ProEquities, Inc. (collectively "Respondents") appeared Robert D. Emmerson, Esq. of the Law Offices of White & Raub, LL