Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01861 Sonja Brandon, Individually and on behalf of her IRAs Mary Ann Willis, Individually and on behalf of her IRAs Theodore Willis, m Jennifer Brandon-McMahon Timothy McMahon Margaret Brandon Wendy Brandon Names of the Respondents Hearing Site: Little Rock, AR John R. Taylor Financial Group, Inc. Donaldson, Lufki

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-01858 Thomas F. Communale Trust Thomas F. Communale, IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. William R. Hutchisson, Jr. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Thomas F. Communale T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Avion Manufacturing Co. Employee Profit Sharing Plan and Avion Manufacturing Company (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Louis A. Telerico, and Trudi Miner (Respondents) Case Number: 02-01856 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Avion Manufacturing Co. Employee P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01855 Gerry Lamarre, claimant vs. Raymond James Financial Services, Inc. and Timothy Biebelhausen, respondents. ATTORNEYS: Claimant appeared pro se, Castle Rock, WA. For Respondents appeared in-house counsel John M. Norton, III, Esq., St. Petersburg, FL. DATE FILED: March 28, 2002 CASE SUMMARY: Claimant alleged that respondents failed to properly supervise his account according to hi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Zindall R. Seagroves Namfi of the Respondent Edward D. Jones & Co. , Number: 02-01851 Hearing Site- Raleigh, North Carolina RF.PRF.SFNTATTON OF PARTTF.S Claimant Zindall R. Seagroves, hereinafter referred to as "Claimant", was represented by Andrew O. Whiteman, Esq., Hartzell & Whiteman, LLP, Raleigh, North Carolina. Respondent Edward D. Jones &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02660 Darren J. Moore, claimant vs. Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Ft. Lauderdale, FL. For Respondent appeared Janis Campanella, in-house counsel, New York, NY. DATE FILED: June 19, 2000 CASE SUMMARY: Claimant alleged he placed an order on-line for 3000 shares of "IHWY" on margin. Claimant further alleged that upon reviewing his accoun

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Michael J. McNamee Name of the Respondent Charles Schwab, Inc. Case Number: 02-01850 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Michael J. McNamee, hereinafter referred to as "Claimant", appeared pro se. For Charles Schwab, Inc., hereinafter referred to as "Respondent": Mauricio S. Beugelmann and Janet T. Epstein, Charles Schwab & Co., Office of Corpora

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Kerbs and Alan Kerbs, Claimants v. Jay R. Rice, Kent D. Sweat, Intermountain Financial Services, Inc., Network Capital Corporation, American Investment Services., Inc., and The First American Investment Banking Corporation, Respondents Kent D. Sweat and Intermountain Financial Services, Inc., Cross-Claimants v. Jay R. Rice, Cross- Respondent Kent D. Sweat and Intermountain Fina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 02-01842 Jean G. Ogilvie Names of the Respondents Hearing Site: Pittsburgh, PA ATEL Securities Corporation Textainer Capitol Corporation Securities America, Inc. Nature of the Dispute: Customer v. Members and Non-Member RFPRKSFNT ATTON OF PARTIES Claimant, Jean G. Ogilvie, hereinafter referred to as "Claimant", represented herself at the hearing. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Steiner and Valerie Bouchard Steiner, (Claimants) v. A.G. Edwards & Sons, Inc., Mark Bernhard and Timothy Cronin, (Respondents) Case Number: 02-01839 Hearing Site: New York, New York REPRESENTATION OF THE PARTIES Claimants, Mark Steiner ("M. Steiner") and Valerie Bouchard Steiner ("V. Steiner"), hereinafter collectively referred to as "Claimants": Douglas Trokie, Law