Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wallace L. Parr Case No. 00-03880 Hearing Site: Boca Raton, Florida Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Wallace L. Parr ("Parr") hereinafter referred to as "Claimant": Tim B. Wright, Esq., Warner, Fox, Wackeen, Dungey, Seeley, Sweet, Wright and Beard, L.L.P., Stuart, Florida. For A.G. Edwards & Sons, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Scott Alan Rubin Names of the Respondents Prime Charter Limited, Inc., Fahnestock, Inc., Luis Alexander Sanchez, Steven Schwartz and John Does Case Number: 02-04640 Hearing Site: Boca Raton v Flottda REPRESENTATION OF PARTIES For Scott Alan Rubin, hereinafter referred to as "Claimant": Gerald Rubin, Esq., Law Offices of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carl Sisneros and Case Number: 02-04636 Hearing Site: Houston, Texas Names of Respondents Quick & Reilly, Inc. and Jerry L. Dye NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Carl Sisneros ("Claimant") was represented by Michael L. Davis, Esq., Law Office of Michael L. Davis, Houston, Texas. Quick

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 02-04633 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Merrill Lynch & Co., Inc. Robert W. Bidwell Randolph S. Moore Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant was initially represented by George C. Aucoin, Jr., of the law firm of Johnson and Auc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf f n e r]airrj,flrit Pa^p Nnmhpr- 02-04630 Jacobson Family Trust n f th p Ff^p o n dents H^flrirg Sjtfv Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Steven M.Cohen OF PARTI Claimant, Jacobson Family Trust, was represented by Leslie D. Jacobson, Esq., Attorney at Law, Harrisburg, PA. Respondents, Merrill Lynch, Pierce, Fenner & S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Ridolfi and Patrick M. Ridolfi as Trustees of The Scott Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-04629 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: / C/ David B. Nemer, Jr., Esq. San Francisco, California For Respondent: s^***"* Cara L. Meredith Keesal, Young & Logan San Franci

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacques Bolivar, Claimant v. Robert Van Securities, Inc., Respondent Case Number: 02-04627 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES • For Claimant: Jacques Bolivar Oakland, California , For Respondent: Cherie G. Porter Jones Law Group Walnut Creek, California CASE INFORMATION Statement of Claim filed: September 5, 2002 Claimant's Response

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fumio Onda and Wendy Y. Wen, Claimants v. JB Oxford & Company and Frederick Lu, Respondent Case Number: 02-04620 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants: Chyong-Yao Ho, Esq. Law Offices of Ho & Associates Pasadena, California For Respondent JB Oxford & Company: Jeffrey S. Kob, Esq. Miller Milove & Kob San Diego, California For Respo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Karen Ann Warner and Karen Ann Warner Living Trust and Case Number: 02-04613 Hearing Site: Detroit, Michigan Respondents Merrill Lynch Pierce Fenner & Smith, Inc., David Boor and Dennis Gabel NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Karen Ann Warner and Karen Ann Warner Living Trust ("Claimants")

Award NASD Dispute Resolution In theMatter 01 the Arbitration Between: Names of the Claimants Case Number: 02-04609 Zbigniew Rosikon & Malgorzata Wo'ldanska Name of the Respondent Hearing Site: Boca Raton, Florida Josephthal & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Zbigniew Rosikon ("Rosikon")and Malgorzata Woldanska ("Woldanska"), hereinafter referred to as "Claimants": David R. Chase, Law Offices of