Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05004 Mary Adrienne Laborde Parsons, individually and as trustee of the Trusts established for the benefit of Madison Laborde Parsons, Hayden Kastler Parsons, Jackson Lee Parsons and Anna Menitt Parsons Name of the Respondent Hearing Site: New Orleans, Louisiana Johnson Rice & Co., L.L.C. Name of the Third Party Respondent John Do

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marc Seymour and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 02-05001 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Marc Seymour ("Claimant") was represented by Annette M. Henry, Esq., Houston, Texas. Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch" or "

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of Claimant: ! Todd Kaufman vs. Case Number: 02-04999 Hearing Site: Houston, Texas Names of Respondents: Stephens, Inc., and Brent Yarbrough MATIIR Customer v. Member Firm and Associated Person Claimant, Todd Kaufman, hereinafter referred to as "Claimant," was represented by Annette M. Henry, Esq., in Houston, Texas. Respondents, Stephens, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Wayne and Peggy Cooper, individually, as Co-Trustees of the Peggy A. Cooper Family Trust, and as Co-Trustees of the Wayne Cooper Family Trust v. 02-04996 Minneapolis, Minnesota Respondents Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Joan Crawford Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant Case Number: 02-04989 Marvin T. Kistler Name nf the Respondent Hearing Site- Indianapolis, Indiana Raymond James & Associates, Inc. NATTTRF O mSPTTTF Customer vs. Member Firm HF.PTtF.SF.NT A TTON OF PATtTTFJg Scott L. Starr, Esq. of the law firm Starr, Austen, Tribbett, Myers & Miller located in Logansport, Indiana represented Claimant, Marvin T. Ki

ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Weinstein, Individually and as Beneficiary and Trustee of the North American Gold, Inc. Defined Benefit Pension Plan, Claimants v. Merrill, Lynch, Pierce, Fenner, & Smith Incorporated and Margaret Mary Lavecchia Baldwin, Respondents Case Number: 02-04985 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: L. Joe Coppedge, Esq. Kummer Kaempf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carter Yohey, Claimant v. Morgan Stanley DW, Inc., Bradley P. Studebaker, Gary R. Elrod, and Robert D. Luce, Respondents Case Number: 02-04982 Hearing Site: Reno. Nevada * Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley, Esq. Sinai Schroeder Mooney Boetsch Bradley Reno, Nevada For Respondents: Jon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03937 Saul W. Adelman, claimant vs. Track Data Securities Corp. and Herzog Heine Geduld, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Oxford, OH. For Respondent Herzog Heine Geduld, Inc., appeared Hugo A. Hilgendorff, IV, Esq., of the firm Bressler, Amery & Ross, Florham Park, NJ. For Respondent Track Data Securities Corp. appeared Robert P. Bramnik, Esq., of the firm

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: f: of thft riflimantst Pase Number 02-04979 Todd C.Alston Grace Cole-Alston Name of the RftgpnTidftnfg Hearing Sife' Washington, DC UBS Financial Services, Inc., #k/a UBS PaineWebber, Inc. Daron D. Fullwood Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SFNTATTON OF PARTTF.S Claimants, Todd C. Alston and Grace Cole-Alston, hereinafter col

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Claimants ! , . . James R. Jensen and Debra Jensen v. ' |( 02-04973 Minneapolis* Minnesota Respondents l( Citigroup Global Markets, Inc. f/k/a/ Salomon Smith Barney, Inc. and Jamie Peter Constantine Nature of Dispute: Customers v. Member and Associated Person . . ' j REPRESENTATION OF PARTIES r James R. Jensen and Debra Jensen ("Claimants") were