Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04846 Edwin B. Kornblue, D.D.S., P.A. Profit Sharing Plan and Trust, Effective 10/1/71, Edwin B. Komblue on behalf of his IRA Account and his Joint Account, Andrea B. Kornblue on behalf of her Joint Account, and Andrea B. Kornblue custodian for Paige Nicole Kornblue Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanl

Stipulated Award NASD In the M atter of the Arbitration Between: Name of Claimant Robert R. Williams Names of Respondents J.C. Bradford & Co. n/k/a UBS PaineWebber, Inc. David McKean Case Number: 00-03928 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Robert R. Williams ("Claimant"): Vincent F. Kilborn, III, Esq., Kilborn & Roebuck, Mobile, Alabama; and Michele C. O'Brien, Esq., Law Firm of David A. McDonald, Mobile,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 02-04844 Theodore Knee and Barbara Knee, individually And as co-trustees of the Knee Family Trust Name of Respondent Hearing Site: Boca Raton, Florida Advest, Inc. REPRESENTATION OF PARTIES For Theodore Knee ("TK") and Barbara Knee ("BK"), individually and as co-trustees of the Knee Family Trust ("KFT"), hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Express Financial Advisors, Inc., Claimant v. Steven G. Bacon, David M. Newbore and S. Kenneth Wilmot, Respondents Case Number: 02-04840 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Bruce L. Campbell, Esq. Carolyn Guy, Esq. Miller Nash LLP Portland, Oregon For Respondents: Ronald T. Adams, Esq. Michael B. Merchant, Esq. Kelly R.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 02-04833 Lombard Securities Incorporated, claimant vs. Diane Wyman, respondent. ATTORNEYS: For Claimant appeared Dana N. PescosoJido, Esq., Saul Ewing LLP, Baltimore, MD. -Eoi. Respondent appeared. Gregory L Bernard^.Esq., Thomas Noquey.Bniun .Splay & Bernard, LUP, Rapid City, SD. DATE FILED: August 16, 2002 CASE SUMMARY: Claimant alleged that respondent breached the Client Account Agreemen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Barry Harvey, William F. Harvey, Sr., Jackie Majors, Ann Majors, Cheryl Mobley, Jerry Mobley, Karen Rowe, Tim Rowe, Benjamin Mobley, Elizabeth Mobley, and Katie Rowe Names of the Respondents A.G. Edwards & Sons, Inc. Hance "Butch" McKenzie, Jr. Case Number: 02-04832 Hearing Site: New Orleans, Louisiana Nature-of th

Award NASD Dispute Resolution in me Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04831 Carolina Nunez Name of the Respondent Hearing Site: Boca Raton, Florida AX A Advisors, LLC REPRESENTATION OF PARTIES For Carolina Nunez ("Nunez"), hereinafter referred to as "Claimant": Steven R. Reininger, Esq., Rasco Reininger Perez & Esquenazi, P.L., Coral Gables, Florida. For AXA Advisors, LLC ("AXA"), hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04822 CGF Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Evan Seltzer Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTTES For CGF Securities, LLC, hereinafter referred to as "Claimant": Delmer C. Cowing, HI, Esq., Delray Beach, Florida. Evan Seltzer, hereinafter referred to as "Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-04821 Russell and Doris Elliott Name of the Respondents Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. and Gregory S. Allen REPRESENTATION OF PARTIES Steven W. Koslovsky, Esq. formerly of the firm Blumenfeld, Kaplan & Sandweiss, P.C., now with the Law Offices of Steven Koslovsky located in Maryland Heights, Missouri, represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Carl E, Velte and Mary E. Velte and 02-04820 Oklahoma City, Oklahoma Name of Respondents Regions Investment Co., Inc. n/k/a Morgan Keegan & Company Inc. Sean W.Wright Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Carl E. Velte and Mary E. Velte ("Claimants") were represented by Jason Browning, Esq., Warner