AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Claimant James C. Granger v. 02-00871 Minneapolis, Minnesota Respondents Morgan Keegan & Company, Inc., John Dow Crocker and James Jarrell Prince REPRESENTATION OF PARTIES James C. Granger ("Claimant") was represented by Pace Klein, Esq., of Wiese Law Firm, P.A., Minneapolis, Minnesota. Morgan Keegan & Company, Inc. ("Morgan Keegan"), John Dow Crocker ("Crocker"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Mary Sue Cummins, individually and on behalf of their IRA's, (Claimants) v. Robert W. Baird & Co. Incorporated, (Respondent) Case Number: 02-00868 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimants, John and Mary Sue Cummins, individually and on behalf of their IRA's, hereinafter referred to as "Claimants": William K. Flynn, Esq., Strauss & Troy, Cincinn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen A. Parker and Name of Respondent David J. Frizzell Case Number: 02-00865 Hearing Site: Troy, Michigan REPRESENTATION OF PARTIES Karen A. Parker ("Claimant") was represented by Gerald D. Wahl, Esq., Sommers, Schwartz, Silver & Schwartz, P.C., Southfield, Michigan. David J. Frizzell ("Respondent") was represented by Raymond W. Henney, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case Number 02-00862 James and Rosemary Bogden, Name nf the Respondents Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc., Karen Hoy PFPttF.CT.VTATTffcN OF PAPTTTT.S Claimants James and Rosemary Bogden, hereinafter referred to as "Claimants," were represented by Dennis H. Taylor, Esq. of Shepherd, Smith & Bebel, P.C. lo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thpnaimant r w Miimhpr- 02-00859 Robert F. Carey, ffl Hf firing -^ite* Chicago, Illinois Prudential Securities Incorporated OF PA HTTP'S Claimant Robert F. Carey, HI hereinafter referred to as "Claimant": John J. Muldoon, in, Esq. of Muldoon & Muldoon, PC, located in Chicago, IL. Respondent Prudential Securities, Inc., hereinafter referred as "Prudential" or "Resp

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Camille Van Vurst, Individually and on behalf of the Camille Van Vurst IRA; Beth Van Vurst, Individually and on behalf of the Beth Van Vurst IRA; and Amy Van Vurst Individually and on behalf of the Amy Van Vurst IRA V. 02-00857 Denver, Colorado Respondents Morgan Stanley Dean Witter and Susan Taylor REPRESENTATION OF PARTIES Camille Van Vurst, Indivi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Sidney Greenswag v. 02-00856 Minneapolis, Minnesota Respondents Robert W. Baird & Company, Inc. and James J. Ingram REPRESENTATION OF PARTIES Sidney Greenswag ("Claimant") was represented by Mark J. Briol, Esq., of Briol and Associates, PLLC, Minneapolis, Minnesota. Robert W. Baird & Company. Inc. ("Baird") and James J. Ingram ("Ingram") hereinafter referred

CASE: 02-00854 Raymond James Associates, Inc., claimant vs. Gerald Doerr, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Robert C. Stokes, Esq., St. Petersburg, FL. Respondent did not respond to the Statement of Claim. DATE FILED: February 12, 2002 CASE SUMMARY: Claimant alleged that respondent breached his contractual obligation in failing to repay monies owed on a promissory note. Claim Data Claim: $19,944.40 Interest: 10% p.a.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter and Bobbi Forst, (Claimants) vs. PaineWebber Incorporated, (Respondent) Case Number: 00-02499 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Peter Forst ("P. Forst"") and Bobbi Forst ("B. Forst"), hereinafter collectively referred to as "Claimants": Morton E. Cytryn, Certified Public Accountant, Rockville Centre, NY. Respondent PaineWebber Incor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome H. Rogers and Connie M. Rogers, Jointly and Connie M. Rogers, Individually, Claimants v. Salomon Smith Barney, Inc., Edward L. Diener, and William Dodge, Respondents Case Number: 02-00851 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Jerome H. Rogers and Connie M. Rogers, Jointly and Connie M. Rogers, Individually, hereinafter referred to as "Claimants": Wil