NASD DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 024)5035 Chere Moore, IRA, claimant vs. A. G, Edwards & Sons, Inc. and Samuel E. Gisver, respondents. ATTORNEYS: Claimant appeared pro se, Bakersfield, CA. For Respondents appeared in-house counsel Nuviah Shirazi, Esq., SL Louis, MO. PATE FILED: August 27, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresented facts regarding her account and placed her into investments that wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between:' Name of the Claimants Case Number: 02-05032 Preston J. Valentino and Pamela L. Valentino Name of the Respondents Hearing Site: Chicago, Illinois A.G. Edwards & Sons, Inc. and Don Steriovsky Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Preston J. Valentino and Pamela L. Valentino was represented by William F. Fitzpatr

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05030 Debra S. Barnes, claimant vs. Tamborello Capital Management, LLC, and TD Waterhouse Investor Services, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Houston, TX. For Respondent TD Waterhouse Investor Services, Inc., appeared in-house counsel, Janis Campanella, Esq., Boca Raton, FL. Respondent Tamborello Capital Management, LLC did not submit to arbitration. DATE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05027 Homer Eldridge Judith Eldridge Names of the Respondents Hearing Site: Boca Raton, Florida Jefferson Pilot Securities Corp. Edwin Budd, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Homer Eldridge ("HE") and Judith Eldridge ("JE"), hereinafter collectively referre

NASD DISPUTE RESOLUTION, INC. In The Matter Of Thfe Arbitration Between First Union Securities, Inc., Claimant, v. No.: 00-03946 Randy L. Krenzin, Respondent. COPY STIPULATED AWARD The hearing in this matter was scheduled for January 22 - 24,2002. Prior to the hearing, the parties reached a settlement and have stipulated to the entry of this award by the Arbitration Panel. REPRESENTATION For Claimant: Ronald P. Kane, Esq. Kane & Fisc

Stipulated Award NASD Dispute Resolution In the Matter of tneTSrbitration between: Names of the Claimants Case Number: 02-05025 Thomas M. Milo Trust U/A DTD 7/9/92 Thomas M. Milo Roth IRA Names of the Respondents Hearing Site: Boca Raton, Florida UBS Financial Services, Inc. Beatrice Albrecht Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas M. Milo Trust U/A DTD 7/9/92 ("TMMT") and Thomas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Bayless and Natalie Bayless, Trustees, AD Exchange Profit Sharing Plan DTD 1-1-88, and Robert Bayless and Natalie Bayless, Trustees, AD Exchange Money Purchase Plan DTD 1-1-97 (Claimants) v. John N. Janoch, Cheryl L, Amato, and A.G. Edwards & Sons. Inc. (Respondents) Case Number: 02-05021 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher R. White, (Claimant) vs. Fidelity Brokerage Services LLC, (Respondents) Case Number: 02-05020 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Christopher R. White, hereinafter referred to as "Claimant", appeared pro se. Respondent, Fidelity Brokerage Services LLC, hereinafter referred to as "Respondent": Colleen A. Hankins, Esq., Legal Counsel, Fi

t NASD DISPUTE RESOLUTION AWARD CASE; 02-05019 Beba Le Sante, dainiaht vs. Osualdo E, Correa^ respondent* ATTORNEYS: For Claimant appeared! RusseJ] C. Silverglate, Esq., of the firm Dickenson Muiphy Rex and Sloan, fioca Raton, PL. Respondent did not re* pond to the Statement of Claim. DATE FILED: Augusd 26,2002 CASE SUMMARY: C ;afcnant state of Florida. Claimant maintained account suffered alleged that respondent was not licensed to sell

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Katherine Cabrera (Claimant) v. James Pardy, Milestone Group Management LLC, Paul Cassella, Vincent Mitchell, Milestone Holdings LLC, and J.B. Oxford & Company (Respondents) Case Number: 02-05018 Hearing Site: New York, New York Claimant Katherine Cabrera hereinafter referred to as "Claimant": Richard J. Blumberg, Esq., McLaughlin & Stern, LLP, New York, NY. Respo