Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Niehaus Trust, John W, Niehaus, Trustee (Claimant) v. McDonald Investments, Inc. and William P. Cseplo (Respondents) Case Number: 02-07000 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John W. Niehaus Trust ("Niehaus Trust") hereinafter referred to as "Claimant": Andrew W. Green, Esq., C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Nirmher: 02-06996 Carolyn C. Moore Name of the Respondents Hearing Site: Washington, DC UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member. RP.PRFSF.NTATTON OF PARTIES Claimant, Carolyn C. Moore ("Claimant"), was represented by Mark M. Dumler, Esq., Parker, Dumler & Kiely LLP, Baltimore, Maryland.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06993 Sal Tusa, individually and as Trustee of the Revocable Trust Agreement of Salvatore P. Tusa U/A DTD 11/30/99 Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Kevin Tritsch Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Daniel B. Parsont and Trina M. Parsont JT TEN Daniel B. Parsont and Trina M. Parsont JTWROS Trina M. Parsont Daniel B. Parsont, Custodian FBO Neil H. Parsont UTMA FL Daniel B. Parsont, Non-Conduit IR Advanced Clearing, Lie, Custodian Daniel B. Parsont, Rollover IRA Advanced Clearing, Inc. Custodian Trina Mae Parsont, IRA Adva

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ! Name of Claimant Ronald S. Bergman and 02-06987 Phoenix, Arizona Name of Respondents i A.G. Edwards & Sons, Inc. Karen L. Rittel i • i Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTES , * Ronald S. Bergman ("Claimant") was represented by John J, Nicgorski, Esq., Mohr, Hackett, Pederson, Blakle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: >%pp. of thp Claimant- r^e Number 02-06986 Elaine Miller Site: Dallas, Texas Scott D. Ricketts Financial Marketplace Group, LLC TV^T TTRf OF TWF Til SPITTF. Public Customer v. Associated Person and Non-Member Firm RFPKFSfrNTATTOTV OF PAttTTF.S Claimant Elaine Miller, hereinafter referred to as "Claimant": John E. Dees, Jr., Esq. of Dallas, Texas. Respondents Scot

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert Graves and Ellen R. Graves and Names of Respondents United Planners' Financial Services and Charlie W. Sheets Case Number: 02-06985 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert Graves and Ellen R. Graves ("Claimants") were represented by Joel H. Ka

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Name of the Respondent Bryan Tullock Case Number: 00-04164 learing'Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant/Counterrespondent A.G. Edwards & Sons, Inc. ("Claimant")- Matthew Salomon, Esquire, of A.G. Edwards & Sons, Inc., St. Louis, Missouri. Respondent/Counterclaimant Bryan Tullock ("Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Potocki and Names of Respondents UBS Financial Services, Inc., f/k/a UBS PaineWebber and Ann Maile Case Number: 02-06984 Hearing Site; Southfield, Michigan NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert Potocki ("Claimant") was represented by Joel H. Kaufman, Esq., Farmington Hills,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "NTamp nf \\if- P^im^ta Pa^p N\im h *T 02-06979 John and Betty Musal Name of frft p^ppn^Hftnt? fi^rjng ftjfp- Dallas, Texas Edward D. Jones & Co.; and Richard G. Stokes pT Public Customer v. Member Firm and Associated Person n PAPTTF.S Claimants John and Betty Musal, hereinafter collectively referred to as "Claimants)": Upendar Reddy, Esq., of the firm of San