Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf t|ip riqjmant Pasp Miii-fltvn- Q2-0 1 174 Milorad Lee Miovanovic r*f ThF Ff g p n Tn1gnt H p ?ri n g Sitf Milwaukee, Wisconsin A.G. Edwards & Sons, Inc., and Bruce James Loder Claimant Milorad Lee Miovanovic hereinafter referred to as "Claimant": Robert Bertsch Esq. of Bertsch & Associates located in Port Washington, New York. Respondents A

Award NASD In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Jon C. Porter, Respondent Case Number: 02-01171 Hearing Site: Memphis, TN REPRESENTATION OF PARTIES For First Union Securites, Inc, hereinafter referred to as "Claimant": Renan Sugarman, Esq, Chicago, IL. Respondent Jon C. Porter did not appear in this proceeding. CASE INFORMATION Statement of Claim filed on: February 25, 2002. Claimant's Uniform S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sands Brothers & Co., Ltd., (Claimant) vs. Travus Pope, Vito Fredella, John McCaffrey, Jr., Gregory Griffiths, and William Rowan, (Respondents) Case Number: 02-01165 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sands Brothers & Co., Ltd., hereinafter referred to as "Claimant": Marc S. Koplik, Esq., Marc S. Koplik & Associates, New York, NY. Previously represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Edmund C. Major and Janice L. Major Living Trust and Name of Respondent H&R Block Financial Advisors, Inc. Case Number: 02-01163 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Edmund C. Major and Janice L. Major Living Trust ("Claimant"); Edmund C. Major, pro se. H&R Block Financial Advisors, Inc. ("Respondent") was represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01161 Carol L. Mersch, Individually, and as Trustee of the Revocable Inter Vivos Trust of Carol Mersch Name of the Respondent Hearing Site: Oklahoma City, Oklahoma Arvest Investments, Inc., d/b/a Arvest Asset Management REPRESENTATION OF PARTIES Claimant Carol L. Mersch, Individually and as Trustee of the Revocable Inter Vivos Trust o

* * STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Amaya Camou Cubillas AKA Amaya Camou DE Nicola and 02-01159 Phoenix, Arizona Name of Respondents Wells Fargo Investments, LLC Wells Fargo Brokerage Services, L.L.C. Wells Fargo Securities Inc. Piper Jaffray & Co. nka U.S. Bancorp Piper Jaffray, Inc. Fernando M. Parada Camou Nature of the Dispute: Customer vs. Members and Associated

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02471 Stifel, Nicolaus & Company, Inc. Claimant vs. Kimberly Roberson, Respondent. ATTORNEYS: For Claimant, Stifel, Nicolaus & Company, Inc. ("Claimant"), appeared Peter R. Sonderby, Esq., Chicago, IL. Respondent, Kimberly Roberson, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: June 9, 2000 CASE SUMMARY: Claimant alleged that Respondent placed an unsolicite

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant flase Number- 02-01155 Samuel N. Nauhaus Names of the Respondents Hearing Site- Pittsburgh, PA PNC Brokerage Services Corporation Michael Wein Nature of the Dispute: Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES Claimant, Samuel N. Nauhaus, hereinafter referred to as "Claimant", was represented by John C. Brzustovicz,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Lucy Suen as attorney-in-iact for Ching-Hsiu Wang, Claimant v. Brookfield Securities, Inc., Arthur C. Wang, and Youshan Eric Jou (a.k.a. Yushan Eric Jou), Respondents Case Number: 02-01153 Hearing Site: Los Angeles, California Nature of the Dispute; Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents Brookfield Sec

Stipulated Award NASD In the Matter of the Arbitration Between: « Amy K. Knowles Trusts U/A/D 5/1/99 and 5/26/99 Amy Knowles, Trustee and Individually^ Claimant v. Morgan Stanley Dean Witter and Scott Henington, Respondents Case Number: 02-01147 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Amy K. Knowles Trusts U/A/D 5/1/99 and 5/26/99 Amy Knowles, Trustee and Individually, hereinafter referred to as "Claimant": Russell C. Silverglate