AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Peter Weinrauch and Case Number: 02-01920 Hearing Site: Southfield, Michigan Names of Respondents Salomon Smith Barney, Inc., Jeffrey R. Grant, and Gloria M. Grant REPRESENTATION OF PARTIES Peter Weinrauch ("Claimant") was represented by Anthony V. Trogan, Esq. and Lysa Postula-Stein, Esq M West Bloomfield, Michigan. Salomon Smith Barney,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between / Name of Claimant Martin Z. Craig And 02-01916 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Chuck Douthit a/k/a Charles T. Douthit Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Martin Z. Craig ("Claimant") was represented by Alan F. Block, Esq., Block

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Claimant Paul Meyer, as Co-Trustee of the Elaine P. Meyer Generation Trust v. 02-01910 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Mark E. Jones Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Paul Meyer, as Co-Trustee of the Elaine P. Meyer Generation Trust ("Claimant") was represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gary Bird and Names of Respondents Kirkpatrick, Pettis, Smith, Polian, Inc., and George L. Morgan ____ Case Number: 02-01909 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Gary Bird ("Claimant") was represented by Richard N. Berkshire, Esq., Berkshire & Blank, Omaha, Nebraska. " i - Kirkpatrick, Pettis, Smith, Polian, inc. ("K

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Field Logan & Co. Inc., LLC and 02-01908 Louisville, Kentucky Name of Respondents David C. Gess REPRESENTATION OF PARTIES Field Logan & Co., LLC ("Claimant") was represented by Michael S. Colombo. David C. Gess ("Respondent") appeared pro se. Respondent did not participate in the hearing conducted on June 16, 2003. CASE INFORMATION The Stateme

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Patsy R. Shanks v. 02-01906 Denver, Colorado Respondents A.G. Edwards & Sons, Inc., Thomas Ashwood and Elton Rambin Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Patsy R. Shanks ("Claimant") was represented by William D. Nelson, Esq., of Rothgerber Johnson & Lyons, LLP, Denver, Colorado. A.G. Edwards & Sons, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Gimbel, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 00-02549 Hearing Site: New York, New York Claimant, Roger Gimbel, hereinafter referred to as "Claimant": Arthur M. Handler, Esq., Handler & Goodman LLP, New York, NY. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Respondent": Stephen G. Frye, Esq., Bird, Marella, Boxer & Wolper

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John C. Orth and 02-01904 Phoenix, Arizona Name of Respondents Heritage West Securities, Inc. Philip W. Dregalla REPRESENTATION OF PARTIES John C. Orth ("Claimant") was represented by Michael L. Parrish, Esq., Morrison & Hecker, Phoenix, Arizona. Heritage West Securities, Inc. ("Respondent Heritage West") was represented by Gary J. Sherman Phi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Charles G. Bowdre and Maria G. Bowdre Name of the Respondents Financial World Corporation, First Southwest Company, Michael E. Blunt, Bradley A. Bervert, and Hillel A. Feinberg Case Number: 02-01901 Hearing Site: Kansas City, Missouri Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claimants Charle

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Gilbert C. Cox, Jr. v. Respondents H&R Block Financial Advisors, Inc., and Joseph D. Sheeran and Counter-Claimant H&R Block Financial Advisors, Inc., v. Counter-Respondent Gilbert C. Cox, Jr. Case Number: 02-01900 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person and Member v. Customer