Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: M. Jackie Carter v. A.G. Edwards & Sons, Inc. Case Number: 00-03801 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, M. Jackie Carter ("Claimant"): Jeffrey J. Scott, Esq., Scott & Associates, P.C., Denver, CO. Respondent, A.G. Edwards & Sons, Inc. ("Respondent"): Mike Naccarato, Esq., A.G. Edwards & Sons, Inc., St. Louis, MO. CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of .Claimant fsl Louise Lenhart v. Name of Respopdentfs) Smith Barney, Inc. Thomas G. Henry REPRESENTATION For Claimant: For Respondents; Neil J. Seller, Esq., Las Vegas, Nevada Ellen Slipp, Esq. Smith Barney, Inc. New York, New York CASE INFORMATION Statement of Claim filed: January 23, 1995 Claimant's Submiss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Eugen & Patricia Alexandrescu 9500330 Name of RespondentCst A.S. Goldmen & Co., Inc. SecuS n* i0ctau " j1 ' »' Stephen Kaplan S REPRESENTATION The Claimants appeared pro se. For Respondents A.S. Goldman & Co., Inc. arid Stephen Kaplan; appeared Phbebe A. Wilkersori, Esq. of thelawfirm of Chadbourne &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin J. Kliegman 95-00328 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimant Edwin J. Kliegman ("Kliegman"), who appeared Pro Se, alleged that on February 23, 1994 he contacted Respondent Fidelity Brokerage S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Brian P. and Wanda D. Poimboeuf 95-00327 Name of Respondent(s) D. Blech & Company, Inc. David Blech CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Brian P. and Wanda D. Poimboeuf, who appeared Pro Se, alleged that Respondents David Blech and D. Blech

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Commercial Bank (Grand Cayman), Ltd. 95-00320 Names of Respondents PaineWebber, Inc. Wall Street Securities, S.A> Arturo Tapia REPRESENTATION For Claimant, Commercial Bank (Grand Cayman), Ltd. ("Commercial Bank"): William R. Ponsoldt, jr., Esq., of Kohl, Metzger Spotts, P.A., Stuart, Florida. For Respondents, PaineWebbe

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between City of Joplin, Missouri, Claimant. v. No. 95-00319 Westcap Securities, L.P M Westcap Securities Management, Inc., Westcap Government Securities, Inc., and Westcap securities. Inc., Respondents. ftEPRESENTATIpN OF PARTIES City of Joplin, Missouri ("Claimant") was represented by W. Perry Brandt, Esq., of Stinson, Mag & Fizzell, P.C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between American Express Financial Advisors, Inc., and IDS Life Insurance Company Claimants and Counter-Respondents, v. No. 95-00315 Darryl Witkowski, and A.G. Edwards & Sons, Inc. Respondents and Counter-Claimants, REPRESENTATION OF PARTIES Claimants and Counter-Respondents American Express Financial Advisors, Inc. and IDS Life Insurance Company ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In [he Matter of the Arbitration Between Name of Claimant Dennis G. Biggs 95-00310 Name of Respondents Richard J. Blumette L.C. Wegard & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1995, Claimant Dennis G. Biggs {"Claimant"), who appeared Pro Se, alleged that Respondent L.C. Wegard & Co., Inc. {"LCWC"), through R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03798 Robert J. Doran, Claimant vs. Scott A. Nash, and J.B. Oxford & Co., Respondents. ATTORNEYS: Claimant, Robert J. Doran ("Claimant") appeared Pro Se, Monroeville, PA. For Respondents, Scott A. Nash and J.B. Oxford & Co. ("Respondents"), appeared Scott G. Monson, Beverly Hills, CA. DATE FILED: August 31, 2000. CASE SUMMARY: Claimant alleged Respondent Nash failed to determine Cl