Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Lee Small Marlene L. London Richard Lee Small and Marlene L. London Names of the Respondents A.G. Edwards & Sons, Inc. Robert W. Baird & Co. Incorporated Case Number: 02-06624 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES For Richard Lee Small, Marlene L. London, and Richa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Melvin Schanno v. 02-06623 Minneapolis, Minnesota Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute: Customer v. Member REPRESENTATION OF PARTTES Melvin Schanno ("Claimant") was represented by Harvey Eckart, Esq., of Eckart &Leonetti, P.A., St. Paul, Minnesota. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was represented b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: n air pant Cas^Mmnher: 02-06622 Aaron Pearlman; Jeneane Pearlman; NFSC/FMTC IRA FBO Aaron Pearlman; and NFSC/FMTC IRA FBO Jeneane Gartner Pearlman nf th p ppqvwHpnts , Hearing Site: Dallas, Texas. Brookstreet Securities Corp.; Michael P. Harris; and, Stanley Clifton Brooks TVATTTPF Public Customers v. Member Firm and Associated Persons FP VATTON O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06621 Miriam S. Korfhage Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. Joey S. Stone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Miriam S. Korfhage, hereinafter referred to as "Claimant": S. David Anton, Esq., Law Offices of S. David Anton, P. A.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06620 Richard Ray, Charles Ray and Ray Services, Inc., an Alabama corporation Names of the Respondents Hearing Site: Atlanta, Georgia Aura Financial Services, Inc. Sterne, Agee & Leach, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard Ray ("RR"), Charles Ray ("CR") and Ray Services, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roderic Johansen, Linda Johansen, Robert L. Haskell, Joyce C. Haskell, Conan Johansen, and Joel Johansen, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Henry Blodget, Justin Baldauf, Virginia Syer Genereux, Sofia Ghachem, Thomas Mazzucco, Edward McCabe, Deepak Raj, John Weaver, Greg Jensen, and Robb Thomas, Respondents Case Number: 02-06618 Hearing Site: Seattle,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lisa A. Gordon and '02-06616 Omaha, Nebraska Name of Respondent Investment Professionals, Inc. REPRESENTATION OF PARTIES Lisa A. Gordon ("Claimant") was represented by Alan J. Mackiewicz, Esq., Omaha, Nebraska. Investment Professionals, Inc. ("Respondent") was represented by Eric A. Pullen, Esq., Loeffler, Jonas & Tuggey, LLP., San Antonio, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Monique Nakis Name of the Respondent Raymond James & Associates, Inc. Case Number: 02-06610 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm. REPRESENTATION OF PARTIES For Monique Nakis ("Nakis"), hereinafter referred to as "Claimant": Jeffrey S. Grubman, Esq., Stollman & Grubman, P.A., Boca Raton, Florida. Fo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marie E. Schwartz vs. 02-06607 Omaha, Nebraska Respondents Wachovia Securities, LLC f/k/a First Union Securities, Inc. and Julian Klaczynsky Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Marie E. Schwartz ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. Wachovia

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Thomas E. Wolff and Patricia S. Wolff and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael G. Sample and George B. Cook Case Number: 02-06606 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Thomas E. Wolff and Patricia S. Wolff ("Claimants")