AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morris A. Cohen and 02-04403 Tucson, Arizona Name of Respondents A.G, Edwards & Sons, Inc. Thomas A. DuPlain REPRESENTATION OF PARTIES Morris A. Cohen ("Claimant") was represented by Lisa Anne Smith, Esq., DeConcini McDonald Yetwin & Lacy, P.C., Tucson, Arizona. A.G, Edwards & Son's, Inc. ("Respondent A.G. Edwards") and Thomas A. DuPlain ("Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John and Monica Moore, Claimants v. E*Trade Securities, Inc., Respondent. Case Number: 00-02887 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: Paul E. Rice, Esq. 122 Sherman Avenue Palo Alto, CA 94306 For Respondent: Thomas V. Reichert, Esq. Bird, Marella, Boxer & Wolpert 1875 Century Park East 23 rd Floor Los Angeles,

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.