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.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas E. Farmer, Sr., on behalf of Farm Form, Inc. and . Case Number: 02-03947 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc. and Marshall D. Stein NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Thomas E. Farmer, Sr., on behalf of Farm Form, Inc., ("Claimant") was represen

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

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

'^(01 i:L'i NATIONAL ASSOCJATION OT SECURITIES DEALERS, INC. N THE MATTER OF THE ARBITRATION BETWEEN Perry Kotzker Stephen Kaufman : Case #88-00906 Claimants .88-01454 (consolidated) vs. AWARD Gladstone Securities, Inc. tlizabeth Bamberg and Barton Bereck Respondent 5 CASE SUIVIW\FY Claimants Perry Kotzker and Stephen B. Kaufman alleged that Respondent Elizabeth Bamberg, a partner of Respondent Gladstone Securities, Inc., purchased

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.