Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number! 02-00012 Anne T. Guandolo Names of the Respondents Hearing Site- Washington, D.C. Joseph A. Connor Warren B.- Bischoff CIBQ World Markets, Corp. REPRESENTATION OF PARTIES Claimant, Anne T. Guandoio, hereinafter referred to as "Claimant", was represented by Joseph O'Donnell, Esq., Investment Recovery Centers, Washington, D.C. .Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Russell Darren Siegel, Claimant v. Quick and Reilly, Inc. Respondent Case Number: 00-02395 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: In Pro Per P.O. Box 281677 San Francisco, CA 94128 For Respondents): Brian McSherry, Esq. Quick and Reilly, Inc. 26 Broadway New York, NY 10004 CASE INFORMATION Statement of Claim filed: June

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Firoz B. Master and Thrity F. Master, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-00011 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Firoz B. Master San Mateo, California For Respondent: Eric J. Glassman, Esq. Mennemeier, Glassman & Stroud Sacramento, California CASE INFORMATION Statemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mame nf the Claimant Tucker Anthony Incorporated ase Number 02-00007 Respondent Angelo E. Roman Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PAKTlttS Claimant, Tucker Anthony Incorporated ("Tucker Anthony"), hereinafter referred to as "Claimant", was represented by Kristen M. Grossman, Esq., Bressler,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Holden and Beatrice Holden, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Luis F. Matos, and Sandy Toochin, (Respondents) Case Number: 02-00006 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, William Holden ("W. Holden") and Beatrice Holden ("B, Holden"), hereinafter collectively referred to as "Claimants": William S. Rogers, Jr.,

A\vard NASD Dispute Resolution In the Matter of the Arbitration Between; Pr 02-00005 Maria A. Cote Edward D. Jones & Co.; and John R. Bingham Hearing Site: Dallas, Texas REPKFSFNTATTON OFPAPTTF.S Claimant Maria Cote ("Cote") was represented by Robert M. Hill, Esq., Claxton & Hill, PLLC, 700 McKinney Place, 3131 McKinney Avenue, Dallas, Texas 75205. Respondents Edward D. Jones & Co, ("Jones") and John R. Bingham ("Bingham") were represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. Hammond (Claimant) vs. Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc. (Respondent) Case Number: 01-07193 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, James P. Hammond hereinafter referred to as "Claimant": Richard T. Sullivan, Esq., Sullivan Oliverio & Gioia, Buffalo, NY. Respondent, Prudential Securities, Inc., n/k/a Prudential

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack C. Martini, Susan Martini and Jack C. Martini, Trustee of the Bernice G. Martini Trust FBO Robert Martini, dated 4/30/90, Claimants v. James W. Menconi, Investment Architects, Inc., David Haddock and Anthony J. Duckworth* Respondents Case Number: 01-07177 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Brian L. Zagon Resolution La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Walsh, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 01-07176 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: R. Carlton Seaver, Esq. Seaver & Gill, LLP Los Angeles, California For Respondent: Eric J. Glassman, Esq. Mennemeier, Glassman & Stroud LLP Sacramento, California CASE INFORMATION St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn W. Civic Case Number: 01-07173 A.G. Edwards & Sons, Inc Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Glenn W. Civic, hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Providence, RL Respondent, A.G. Edwards & Sons, Inc., hereinafter referred to as "Respondent": Phyllis A. Hatrich, Esq., A.G. Edw