Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dale L. Burghardt, as an individual and as Trustee of the Retirement Plan Trust of DLB Enterprises, Inc. and as Custodian of the Account of Kelsey Burghardt, Claimants v. Edward Jones, Respondent Case Number: 02-04909 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES ~ For Claimants: Justine Fischer Portland, Oregon For Respondent: Timothy M, Huskey, Esq. Greensfe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maureen Abate and Gerard Abate, (Claimants) v. Salomon Smith Barney, Inc., Gilford Securities, Inc., Francis Weber, Jr., Jeffrey S. Miller, Stephen Kaplan and Phillip D. Vallone, (Respondents) Case Number: 02-04906 Hearing Site: New York, New York REPRESENTATION OF PARTIES Nature of Dispute: Customers vs. Members and Associated Persons Claimants, Maureen Abate and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04905 Dr. Laurence Pilgeram, TTEE, claimant vs. Robert Malkin , respondent. ATTORNEYS: Claimant appeared pro se» Goleta, CA. Respondent appeared pro se, Ojai, CA. DATE FILED: August 21, 2002 CASE SUMMARY: Claimant alleged that respondent misrepresented and failed to disclose the true market value of bonds in his account. Claimant maintained that due to respondent's actions, his accou

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04904 E*Trade Securities, Inc., claimant vs. Christopher M. Spencer, respondent. ATTORNEYS: For Claimant appeared Stephanie M. Levy, Esq., of the firm Henrichs Law Finn, P.C., Los Angeles, CA. Respondent did not respond to the Statement of Clainx DATE FILED: August 8, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed because of a debit balance in h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen Weiss IRA (Claimant) v. Michael A. Ratner and Dreyfus Service Corporation (Respondents) Case Number: 02-04903 Hearing Site: New York, New York Nature of the Dispute: Customer v. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Helen Weiss IRA ("Weiss") hereinafter referred to as "Claimant": George W. Klein, Esq., Law Offices of George W. Klein, Forest Hills

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Fajemirokun (Claimant) v. Dresdner Bank, Dresdner Kleinwort Wasserstein Securities, LLC and Dresdner Kleinwort Wasserstein, Inc. (Respondents) Case Number: 02-04901 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member and Members. REPRESENTATION OF PARTIES Claimant Henry Fajemirokun ("Fajemirokun") hereinafter referred to as "Claimant":

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04900 Raymond James & Associates, Inc., claimant vs. Randall Barlow, respondent. ATTORNEYS: For Claimant in-house counsel, Robert C. Stokes, III, Esq., St. Petersburg, FL. Respondent appeared pro se, Jupiter, FL. DATE FILED: August 20, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of the Advanced Compensation Agreement. Claim Da

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04899 Patricia A. Clancy, claimant vs. Morgan Stanley DW, Inc., respondent. ATTORNEYS: For Claimant appeared Edward M. Dolson, Esq., of the firm Swanson= Midgley, LLC, Kansas City, MO. For Respondent appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: August 20, 2002 CASE SUMMARY: Claimant alleged that respondent failed to liquidate her account in a timely man

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Maria Sagarnaga Names of the Respondents Morgan Stanley Dean Witter & Co. Sean Monahan Case Number: 02-04897 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Maria Sagarnaga, hereinafter referred to as "Claimant": William J. Brown, Esq., Miami, Florida

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Isaac C. Thomas Azalea Insurance Agency, Inc. Names of the Respondents UBS PaineWebber, Inc. f/k/a J.C. Bradford & Company Mike Lewis Case Number: 02-04895 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Isaac C. Thomas and Azalea Insurance Agency, Inc.