AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ronald L. Thomas and Patricia Thomas V. 02-00914 Denver, Colorado Respondents Raymond James Financial Services, Inc. and Fred L. Dowd REPRESENTATION OF PARTIES Ronald L. Thomas and Patricia Thomas ("Claimants") were represented by Steve A. Miller, P.C., Denver, Colorado. Raymond James Financial Services, Inc. ("Raymond James") and Fred L. Dowd ("Dowd") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-00904 Dr. David Hemmer as Trustee to the Fox Valley E.N.T. Association Plan & Trust; Dr. Jerome Bettag as Trustee to the VASC Anesthesia, LTD Pension Plan & Trust; Dr. Jerome Bettag as Trustee to the Valley Ambulatory Surgery Center Employee Pension Plan; Dr. Kenneth Noffsinger as Trustee to The Dr. Kenneth Noffsinger, M.D. Ltd. Prof

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trinity Capital Partners (Clamant) v. Hudson Sloane, LP, Hudson Sloane & Co., LLC, Hudson Sloan Capital, LLC, Russell Shain, and Samantha Shani Topola (Respondents) Case Number: 02-00897 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claimant Trinity Capital Partners ("Trinity") hereinafter

, Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00896 Mordhay ("Moti") Barkan Names of the Respondents Hearing Site: Boca Raton, Florida Lehman Brothers, Inc. Saul Padilla Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mordhay ("Moti") Barkan, hereinafter referred to as "Claimant": G. Alexander Novak, Esq., Novak, Juhase & Stern, L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Edward Ryan (Claimant) v. Frederick Leroy Dowd, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (Respondents) Case Number: 02-00888 Hearing Site: Boston, Massachusetts Nature of Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Edward Ryan ("Ryan") hereinafter referred to as "Claimant": Garret G. Gillespie, Esq., D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Bergmann, Jr., Claimant v. Laidlaw Global Corp. 17k/a Laidlaw Global Securities, Inc. and Roger E. Bendelac, Respondents Case Number: 02-00884 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert Bergmann In Propria Persona Los Angeles, California For Respondents: Marc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry H. Tobisman-Davis, Claimant v. Royal Alliance Associates, Inc. and Richard T. Adams, Jr., Respondents Case Number: 02-00883 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Kevin M. Harr, Esq. Law Offices of Kevin M. Han- Beverly Hills, California Thomas Rittenburg, Esq. Ryan Harvey, Esq. Lewis, Brisbois

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Jeanette Shin, (Claimants) v. CIBC Oppenheimer Corporation, Gary A. Emmerich, G.F.B. Securities, Inc., Parry Cai a/k/a/ Zeng Yi Cai, Edward Linzer, John M. D'Agostino Case Number: 00-02503 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Michael and Jeanette Shin, hereinafter collectively referred to as ("Claimants"): Scott M. Zucker, Esq., Scott

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant O^* Numhpr* 02-00877 {Catherine A. White Charlotte, NC Park Avenue Securities, LLC Consolidated Planning, Inc. Guardian Investor Services Corporation Claimant, Katherine A. White, hereinafter referred to as "Claimant", was represented by David C. Smith, Esq., Kilpatrick Stockton LLP, Winston-Salem, North Carolina. Respondent, Park Avenue Securities, LLC (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Linda Beal and 02-00872 Phoenix, Arizona Name of Respondents A. G, Edwards & Sons, Inc. Lori J. Steele jMSPRg SENTATIOI^ OF PARTIES Linda Beal ("Claimant") was represented by Michael Salcido, Esq., Renaud Cook & Drury, P.A., Phoenix, Arizona. A, G, Edwards & Sons, Lac, ("Respond ent AG Edwards 11 ) and Lori J. Steele ("Respondent Steele")