NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06681 Kim Pickett, Claimant vs. Fahnestock & Co.Inc., James Gianni, Mike Costa and Richard Coloni, Respondents. ATTORNEYS: Claimant, Kim Pickett, ("Claimant"), appeared pro se., Chester Springs, PA. Respondents, Fahnestock & Co. Inc, James Gianni, Mike Costa and Richard Coloni, (collectively "Respondents"), appeared through their in-house counsel, Angela A. Turiano, Esq., New York, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Bottega IRA and Margaret C. Bottega IRA (Claimants) v. A.G. Edwards & Sons, Inc. and Peter Leibman (Respondents) Case Number: 02-06675 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John J. Bottega IRA (J. Bottega IRA") and Margaret C. Bottega IRA ("M. Bottega IRA") hereina

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and Name of Respondent Steven Letzer Case Number: 02-06671 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Leslie A, Reese, Esq., Raymond James & Associates, Inc., St. Petersberg, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Frederick J. Peet, Jr. Name nf the Re.sponHp.nts Vincent C. Ficci and DuPont Securities Group, Inc. . Number 02-0667(1 Hearing .Site: St. Louis, Missouri NATTTPF OF H1SPTTTF Customer vs. Member Firm and Associated Person RFPRFSFNTATION OF PAttTTFS Steven W. Koslovsky, Esq. of the Law Offices of Steven Koslovsky, Heights, Missouri represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William Frederick Clarke v. 02-06669 Denver, Colorado Respondents Edward D. Jones & Co., LP d/b/a Edward Jones, Richard L. Warner, Kenneth G. Geske, Margaret H. Noreus, James A. Kubiak, Mindy R. Brackelsberg, Stephanie L. Powers, and James M. Caruso Nature of Case: Customer v. Member and Associated Persons REPRESENTATTON OF PARTIES William Frederi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant Silvio Francani and 02-06666 Phoenix, Arizona Name of Respondents Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. Sandro J. Francani Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Silvio Francani ("Claimant") was represented by John R. Hoopes, Esq., Hoopes & Adams, PLC, Mesa, Arizona.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary G. Parsons, Sr., Claimant v. Howard R. Polen, William A. Driver, Raymond James and Associates, Inc,, Manufacturers Life Insurance Co., Raymond James Financial Services, Inc., Manulife Wood Logan, Inc., and Manulife Financial Securities, LLC, Respondents Case Number: 02-06665 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member Firms, Non-Member Firm, and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06659 Joseph Crawford Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Eric MacDonnell David MacDonnell Matthew Chalfant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph Crawford, hereinafter referred to as "Claimant": J. Benton Stewart, n, Esq., The Stewart

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Continental Broker-Dealer Corporation, Claimant vs. John R. Barker, Respondent Case Number:00-Q4133 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": appeared Patrick V. Delorio, Esq., Purchase, New York. Respondent, John R. Barker, hereinafter referred to as "Respondent" did not enter a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06654 Jennifer Brye, as Personal Representative of the Estate of Areta Jane Brye Name of the Respondent Hearing Site: Tampa, Florida Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jennifer Brye, as Personal Representative of the Estate of Areta Jane Brye, hereinafter referred to as