AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wedbush Morgan Securities Inc. and 02-02372 Phoenix, Arizona Name of Respondents Ralph H. Eckler The Ralph H. Eckler Trust Ua 9/14/89 Nature of the Dispute: Member vs Customers. REPRESENTATION OF PARTIES Wedbush Morgan Securities Inc. ("Claimant") was represented by Judy Louie, Esq., Wedbush Morgan Securities Inc., Los Angeles, California. Ral

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf th* riflirpants Pagp T\Tnmhpr- 02-02370 Glen I. Wilson and Peggy Singleton- Wilson Glen I. Wilson IRA Merrill Lynch Pierce Fenner & Smith Inc. Henry C. Filter, m p>qrina Sjf^- Baltimore, Maryland RFPRFSFNTATTON Claimants, Glen I. Wilson and Peggy Singleton- Wilson, hereinafter collectively referred to as "Claimants" were represented by Brice G. Dowell, Esq., Attorne

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan K. Laughead * and Names of Respondents A.G. Edwards & Sons, Inc., and Susan D. Ramsdell Case Number: 02-02369 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Susan K. Laughead ("Claimant") was represented by William S. Shepherd, Esq., Shepherd, Smith & Bebe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Gober, Claimant v. Prudential Securities, Inc., Ann V. Wong, and Kevin T. Kitchin, Respondents Case Number: 02-02368 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Virginia H. Gaburo, Esq. Virginia H. Gaburo & Associates San Diego, California For Respondents: Charles B. LaChaussee, Esq. Prudential Securities, Inc. San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namft nf the Claimant Pasa Nhimher 02-02367 Barbara 0. Pryor, Ngrpp nf the Respondents TTftan'ng Site: Houston, Texas CIBC World Markets Corp., and M. Lance Phillips, Claimant Barbara 0. Pryor, hereinafter referred to as "Claimant," was represented by Ronald H. Thrash, Esq. and Christopher J. Bebel, Esq. of Shepherd, Smith & Bebel P.C. located in Houston, Texas. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Edward, Claimant v. UBS Financial Services, Inc. f/k/a PaineWebber, Inc., Respondent Case Number: 02-02360 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Laurie J. Butler, Esq. Tourtelot & Butler Los Angeles, California For Respondent: Ted Lieu, Esq. UBS Financial Services, Inc. Los Angeles, California CASE INFORMATION Statem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon W. Williamson, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Brian J. Boccio, Harry Kay a/k/a Harry T. Kitahata, and W. Andrew Blick, Respondents Case Number: 02-02359 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Steven B. Lehat, Esq. Law Offices o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salim Mukaty, Le Club Williams Limited, and Zulekha Limited (Claimants) v. Goldman, Sachs & Company, Bradford Weston, Kishore Kumar, and Goldman Sachs Group, Inc. (Respondents) Hearing Site: New York, New York ' Case Number: 02-02357 Claimants, Salim Mukaty ("Mukaty"), Le Club Williams Limited ("Le Club"), and Zulekha Limited ("Zulekha"), hereinafter collectively referred to as "Cla

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants) Loren Taylor and 00-02604 Minneapolis, Minnesota Name of Respondent^ Miller, Johnson & Kuehn, Incorporated n/k/a Stockwalk.com Group, Inc. Debra Smith REPRESENTATION OF PARTIES Loren Taylor ("Claimant") was represented by Karl L. Cambronne, Esq., Chestnut & Cambronne, Minneapolis, Minnesota. Miller, Johnson & Kuehn, Incorporated n/k/a Stoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02355 Melvin R. Simpson and Deloise O. Simpson, claimants vs. RBC Dam Rauscher, Inc. and Brett A. Clark, respondents. ATTORNEYS: For Claimant appeared Rodney K. Vincent, Esq., Lincoln, NE. For Respondents appeared Jonathan M. Harris, Esq., of the firm Lindquist & Vennum P.L.L.P., Minneapolis, MN. DATE FILED: April 22, 2002 CASE SUMMARY: Claimants alleged that respondents made unautho