AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Chateau Oil & Gas, Heritage International Holdings, and Financial Services Investments, Inc. V. 02-05116 Denver, Colorado Respondents Global Capital Securities Corporation, Global Capital Partners, Inc., and Martin Sumichrast REPRESENTATION OF PARTIES Chateau Oil & Gas, Heritage International Holdings, and Financial Services Investments, Inc. ("Claim

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James A. Hanson and 00-03961 Minneapolis, Minnesota Name of Respondent Scottsdale Securities, Inc. REPRESENTATION OF PARTIES James A. Hanson ("Claimant") was represented by Geoffrey P, Jarpe, Esq., Maslon Edelman Borman & Brand LLP, Minneapolis, Minnesota. Scottsdale Securities, Inc. ("Respondent") was represented by Steven M. Sherman, Esq., Tho

NASD Dispute Resolution' In the Matter of the Arbitration, Between: nf the Claimant Morgan Keegan & Company, Inc. and i * ' i i Man^ of the Marshall Grimes T" 02-05114 Hearing Site- Houston, Texas PATJTTF.S Claimant Morgan Keegan & Company, Inc. hereinafter referred to as "Claimant," was represented by J.P. Brizz61ara, Esq. of Morgan Keegan & Company located in Memphis, Tennessee. , Respondent Marshall Grimes, hereinafter ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Claimant, vs. Jennifer Harrell, Respondent. Case Number: Hearing Site: 02-05113 Houston, Texas OF Claimant Morgan Keegan & Company, hereinafter referred to as "Claimant" or "Morgan Keegan," was represented by J.P. Brizzolara, Esq. of Morgan Keegan & Company located in Memphis, Tennessee. Respondent Jennifer Harrell, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ( Name of the Claimant Case Number: 02-05109 Bruce Zipper Name of the Respondent Hearing Site: Boca Raton, Honda Sands Brothers & Co., Ltd. Nature of Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bruce Zipper, hereinafter referred to as "Claimant": Pamela A. Leone, Esq., Pamela A. Leone, P.A., Ft. Lauderdale, Florida. For Sands Brothers & Co.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pass Niimhflr 02-05108 Ludwig Muller Name of the Respondents Hearing Site: Raleigh, NC Raymond James Financial Services, Inc. Richard E. Mayer Nature of the Dispute: Customer v. Member and Associated Person. HFPRKSKNTATTON OF PARTIES Claimant, Ludwig Muller, hereinafter referred to as "Claimant"., was represented by William B. Little, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc. (Claimant) v. Randall A. Drew (Respondent) Hearing Site: Cincinnati, Ohio Case Number: 02-05107 REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": William S. Port, Esq., A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent Randall A. Drew did not enter an appearance in this matter. CASE INFORMATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between James Mirabile and Vicki Mirabile and James Mirabile, MD, PA, DBA for Women Only Claimants, and Case No. 02-05106 Prudential Securities Inc. and Constance Bernstein Respondents. REPRESENTATION OF PARTIES Claimants James Mirabile and Vicki Mirabile and James Mirabile, MD, PA, DBA for Women Only were represented by James LaSalle, Esq. Respondents Prud

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant P fls^ Niimhfir 02-05099 Suzette Telatnyk p PpQpnnHf*nffi Hearing-Site: Dallas, Texas Merrill Lynch Pierce Feraier & Smith, Inc.; UBS Financial Services Inc.; Eric C. Edson; and, David B. White PAPTTTT.fi . Claimant Suzette Telatnyk, hereinafter referred to as "Claimant": Janet M. Richmond, of the Loss Recovery Center, located in Incline Village,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Holzinger, Trustee of the Holzinger Trust U/A dtd 8/25/1978 by Carl & Mary Holzinger Trust-A, Claimant v. Merrill Lynch, Pierce, Fenner and Smith Incorporated, J. Graydon Coghlan, and Quinton Hue Ellis, Jr., Respondents Case Number: 02-05083 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES