Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf Claimants James and Jennifer Rogers and Case Number: 02-06167 Hearing Site: Houston, Texas Names nf Respondents RBC Dain Rauscher, Inc. and Richard F. Barrington, Jr. OF Customers v. Member Firm and Associated Person James and Jennifer Rogers ("Claimants") were represented by Matthew Turtle, Esq. and Sara Davis, Esq., Perkins Smith & Cohen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06165 Theresa Marie Bextermiller Names of the Respondents Caspar Martin Unterreiner Jeffrey J. Unterreiner _: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Theresa Marie Bextermiller ("Claimant"): appeared pro se. Respondents Caspar Martin Unterreiner ("C. Unterreiner") and Jeffrey J. Unterreiner ("J. Unterreiner")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Use Marcks, Claimant, vs. Bear, Stearns & Co., Inc. and Mark Steven Gardner, Respondents. Case Number: Hearing Site: 02-06161 Houston, Texas Nature of Dispute: Customer vs. Member and Associated Person. OF PARTTFS Claimant Use Marcks, hereinafter referred to as "Claimant," was represented by Frank V. Ghiselli, Esq. and Winston E. Cochran, Jr., Esq. of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald E. Maurer and Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets. Inc. Case Number: 02-06158 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Ronald E. Maurer ("Claimant") was represented by David B. Meyer, Esq., Smith Bovill, P.G., Saginaw, Michigan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06155 Joseph V. Royer Names of the Respondents Hearing Site: Boca Raton, Florida James Wesley Gutner UBS PaineWebber, Inc. f/k/a PaineWebber Incorporated Robert W. Baird & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph V. Royer, hereinafter referred to

NASD Dispute Resolution Arbitration No. 02-06153 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey A. Weisenfeld, (Claimant) v. A.G. Edwards & Sons, Inc., (Respondent) Case Number: 02-06153 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harvey A. Weisenfeld, hereinafter referred to as "Claimant": appeared pro se. Respondent, A.G. Edwards & Sons, Inc., hereinafter referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Willaim H. Shoemaker and The Estate of Dorothy C. Shoemaker, (Claimants) v. JWGenesis Financial Services, Inc., David L. Avidon, Glenn I. Beyer, Justyn S. Feldman, Hugh O'Callaghan, Alan L. Elkes, David Mugrabi and Dalton Kent Securities Group, Inc., (Respondents) Case Number: 00-04082 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Willaim H. Shoemaker

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Alfred Berger and Dorothy Berger Names of the Respondents Salomon Smith Barney, Inc. Richard Strauss Case Number: 02-06152 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES For Alfred Berger ("AB") and Dorothy Berger ("DB"), hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith James Hale and Linda Kay Hale, Claimants v. Gary Lloyd Smith dba Invest Quest, Respondent Case Number: 02-06144 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Associated Person For Claimants: For Respondent: REPRESENTATION OF PARTIES Keith James Hale Linda Kay Hale In Propria Persona Glen Ellen, California Michael J.M. B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Npvin Katherine Golshani, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 02-06143 Hearing She: Los Angeles, California Nature of the Dispute: Customer v. Member For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Edward S. Kim, Esq. Stradling Yocca Carlson & Rauth Newport Beach, California CASE INF