Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First AUied S^iirfties, Inc. MUdred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordniate Case) In the Matter of the Arbftration Between

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirfties, Inc. Mildred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbftration Betwe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^inities, Inc. Mildred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwee

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ernst A. Riceman, Claimant v. John D. Lucero, John W. Bachmann and Edward D. Jones & Co., Respondents Case Number: 02-03766 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Ernst A. Riceman In Propria Persona Citrus Heights, California For Respondents: Lisa A. Nielsen, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirities, Inc. Mildred H. Beltz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, IiKlividualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^inities, Inc. Mildred H. Beltz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf naimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwee

•Modified Aiward NASD Dispute ResoluDon, Inc. IB tbe Matter of an Arbitration Between Claimant, JOEL A. STO>JE,. and CAMBRIDOE CAPITAL, IXC, THOMAS MICHAEL ROSSL WEXFORD CLEAWNG SERVICES COKPORATION, PRUDENTIAL SECORrUBS INCORPORATED, Case No. 9d-01267 (ConsoKdated with ^ase Nb. 60-959) Award WHEREAS, Respondent Thomvs M. Rossi, sutenitted a po$t-Awar4iDaoti< m before the arbitrfliion pand requesting the panel to rule dtat Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joel A. Stone, (Claimant) v. Cambridge Capital, LLC, Thomas M. Rossi, and Frances Thomas LLC, (Respondents) Case Number: 99-01267 consolidated with Joel A. Stone, (Claimant) v. Wexford Clearing Services, Corp. and Prudential Securities, Inc. (Respondents) Case Number: 00-00959 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Joel A. Stone ("Ston

Award NASD XHspute Resolnion, Inc. In the M^r of iie Afbitt^ai Between: Dcbm Mm, Clmmml v. E¥^N S^riti^ lie. mi Edwin Marvin Wilkersmi, Jr., Respoi^nts ' Case Number: 9S-Q4635 E'l^EN S«ir^ M:. fows mi mhm ^spimitois mi 'mm^Wmty Clmmmm v. Idwtti WittcfiOT, ThM-Prnty R«p«Kteit Hemng Site: &^c, Washington BEPlESENTA'nON OF PAgTIES For Debm faius md Qmf tonus: Rir EVHRH^ Seciuritics, bm. md Edwin MMvlnWilke^n. Jr. Jan^ M. Shaker, I^. R

Award NASD Reguladon, Inc. In the Matter of the Arbitration Between Name of Claimant Alan H. Shaw Case No. 98-03878 Names of Respondents J. C. Bradford & Co. Darren J. Schiff In the Maner of the Arbitration Between Name of Claimant Foot and Leg Clinic Profit Sharing Plan Consolidated witii Case No. 99-1369 Names of Respondents J.C. Bradford & Co. Darren J. Schiff REPRESENTATION OF PAWTTFJg For Alan H. Shaw ("Shaw")