Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the-Oaimant Cass^nd^ej:: 02-06849 Wachovia Securities, LLC Hearmg-Sits: Dallas, Texas' John E.Dudley FPRFSFNTATTON Claimant Wachovia Securities, LLC ; hereinafter referred to as "Claimant": Douglas D. Callaway, Esq., of Wachovia Securities Inc., located in Richmond, Virginia. ! I i Respondent John E. Dudley, hereinafter referred to as "Respondent": Did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06848 Anwer K. Soofi Asim K. Soofi Names of the Respondents Hearing Site: Tampa, Florida Jack Shone, Jr. Kim Early Kenneth I. Chenault American Express Financial Advisors, Inc. American Express Financial Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anwer K. S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mahmood Choudhury Meghna Investments, L.P. Cabochon Properties, L,P. Case No. 00-041 55 Charles SchwalT& Company, Inc. Hearing Site- Philadelphia, Pennsylvania OF PAPTTTTS Claimants, Mahmood Choudhury, Meghna Investments, L.P., and Cabochon Properties, L.P., hereinafter collectively referred to as "Claimants": Erwin Conn, Esq., Cohn & Cohn, Chicago, Illinois.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tn^ Plairnant Cas^ Nmnher: 02-06B40 Jacqueline P. Gilbert Names nf thp PfiRpnnflents Hearing Site- Raleigh, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Jacqueline P. Gilbert, hereinafter referred to as "Claimant", was repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Yvella S. Bradshaw Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Case Nnmhet" 02-06839 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RF.PRKSF.NTATTON OF PARTIES Claimant, Yvella S. Bradshaw, hereinafter referred to as "Claimant", was rep

Stipulated Award NASD Dispute Jtesotetion In the Matter of the Arbitration Between: Name of the Claimant Louise L. Welborn ; nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. J. Brendan Kelleher Case Number! 02-06838 ing Ske: Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Person. RFPRF.SFNTATTON OF PARTIES Claimant, Louise L. Welborn, hereinafter referred to as "Claimant", was represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06837 Gladys M. Kratz Name nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott, LLC Gail Mackler-Carlino Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSF.NTATTON OF PARTTFS Claimant, Gladys M. Kratz, hereinafter referred to as "Claimant", was represented by Aaron Buser, Esq., Stark & Stark

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alberto Santos and Name of Respondent Cuna Mutual Life Insurance Company Case Number: 02-06835 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Non Member REPRESENTATION OF PARTIES Alberto Santos ("Claimant") was represented by Arthur G. Guzman, Esq., of San Antonio, Texas. Cuna Mutual Life Insurance Company ("Respondent

Award NASD Dispute Resolution In the Matter oTthe Arbitration between: Name of the Claimant Case Number: 02-06834 Omar Zambrano Names of the Respondents Hearing Site: Boca Raton, Florida Martinez-Ayme Securities Alvaro Caballero Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Omar Zambrano ("Zambrano") appeared pro se. For Respondent Martinez-Ayme Securities ("MAS"): Nancy Van Sant, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald E. Anders, IRA and Nancy Anders, IRA, Claimants v. UBS Paine Webber, Inc. and Angeli Forster, Respondents Case Number: 02-06831 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Responden