Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06479 Merrill Lynch Pierce Fenner & Smith Inc. Names of the Respondents Hearing Site,: Little Rock, AR Salomon Smith Barney Inc. Roger L. O'Quin, Jr. REPRESENTATION OF PARTIES For Merrill Lynch Pierce Fenner & Smith Inc. ("MLPFS"), hereinafter referred to as "Claimant": Timothy S. Cole, Esq., Rubin & Associates, P.C., Paoli, PA. For Salomon Smith Barney

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06475 Bill W. Garden and Bernice Sousa-Carden, Claimants vs. Edward Jones & Co. and Bill Gray, Respondents. ATTORNEYS: Claimants, Bill W. Garden and Bernice Sousa-Carden (collectively "Claimants") appeared pro se.,Napa, CA. For Respondents, Edward Jones & Co. and Bill Gray, (collectively "Respondents") appeared their in-house counsel, Kimberly G. Anderson, Esq., St. Louis, MO. DATE F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edyth Monsour, Individually, and Edyth Monsour as Custodian for Andrew L. Monsour (Claimants) v. Citigroup Global Markets, Inc. tfk/a Salomon Smith Barney, Inc. and Howard Waltuch (Respondents) Case Number: 02-06472 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Edyth Monsour, Individually ("Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06466 Prudential Securities, Incorporated Name of the Respondent Hearing Site: Boca Raton, Florida Francisco Hernandez Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Prudential Securities, Incorporated ("PSI"), hereinafter referred to as "Claimant": Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Martens

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samir El-Ghazaly and 00-04118 Phoenix, Arizona Name of Respondents Acument Securities, Inc. file/a Thomas F. White & Co., Inc. Jerry S. Gold REPRESENTATION OF PARTIES Samir El-Ghazaly ("Claimant") was represented by Joey Haraby, Esq., Phoenix, Arizona. Acument Securities, Inc. f7k/a Thomas F. White & Co., Inc. ("Respondent Acument") and Jerry S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06461 Harry Shoemaker, in Name of the Respondent Hearing Site: New Orleans, LA First Level Capital, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harry Shoemaker, IE, hereinafter referred to as "Claimant": James L. Maughan, Esq., Maughan, Maughan & Lormand, LLC, Baton Rouge, LA. For First Level Capital

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06460 Crystal F. Doeblin, Individually and On behalf of her two IRA acounts Name of the Respondents Hearing Site: Chicago, Illinois A.G. Edwards & Sons., Inc., and Terrence L. Black NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Barry D. Estell, Esq., with Law Offices located in Missi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce W. Gerleman and 02-06459 Omaha, Nebraska Name of Respondents Prudential Securities Inc. n/k/a Prudential Equity Group, Inc. Michael R. Foster Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bruce W. Gerleman ("Claimant") was represented by George A. LaMarca, Esq. and Justin LaVan, Esq., LaMarca

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Ted Foster and Patricia Foster and 02-06456 Omaha, Nebraska Name of Respondents Piper Jaffray & Co. n/k/a U.S. Bancorp Piper Jaffray > Kelley Tatreau Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Ted Foster and Patricia Foster ("Claimants") were represented by Gail E. Boliver, Esq., Boliver Law

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald E. and Helen A. Schroeder, individually and as Trustees of the Donald E. and Helen A. Schroeder Revocable Trust and 02-06453 Phoenix, Arizona Name of Respondents Lawson Financial Corporation Robert W. Lawson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donald E. and Helen A. Schroeder, individua