Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between! Name of the Claimants Elaine Skocypic Petersen and the Elaine Skocypic Petersen IRA Name of the Respondents A.G. Edwards & Sons, Inc. and Tom Vabakos Case Number: 01-06495 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Elaine Skocypic Petersen and the Elaine Skocypic Petersen IRA hereinafter referred to as "Claimant:" Stuart R. Berkowitz, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jerry L. Womack Names of the Respondents Foster Jeffries Securities, LLC, d/b/a Foster Jeffries Securities Corp., and Thomas S. Marinovich, Jr. Case Number: 01-06494 Hearing Site: Oklahoma City, Oklahoma REPRESENTATION OF PARTIES Claimant Jerry L. Womack ("Claimant"): Stephen A. Zrenda, Jr., Esquire, of Stephen A. Zrenda, Jr., P.C., Oklahoma

CASE: 01-06493 UBS PaineWebber Incorporated, claimant vs. Anne Poler and Craig Poler, respondents. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondents did not respond to the Statement of Claim. DATE FILED: December 3, 2001 CASE SUMMARY: Claimant alleged that respondents submitted a check to their UBS/PaineWebber Resource Management Account which was later transferred to Alex Brown, Inc. Claimant contended that the c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-06490 Leroy Howe, individually and as executor of the Clara M. Howe Estate; and Janice L. Howe nf the T?F-.spnpr)pnfg Hearing Site- Dallas, Texas Carty & Company, Inc.; Earl L. Brown; Billy R. Carty; John C. Dallosta, Jr.; Bradford K. Dent; William L. Carty; and Jennifer C. Scola gFPRKSFNTATlON < ">F P4RTTFS Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-06486 H&R Block Financial Advisors, claimant vs. Richard May, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: December 3, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay the outstanding debit balance on his account. Claimant maintained that due to responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Noa Katrin Massari, Claimant v. Charles Schwab & Co., Inc., Douglas B. Parker and Bryan W. Schlundt, Respondents Case Number: 00-02246 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Noa Katrin Massari In Pro Per San Diego, California For Respondents: Mauricio S. Beugelmans, Esq. Charles Schwab & Co., Inc. San Francisco, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: ' Name of the Claimant Case Number: 01-06480 Edward H. Forst and Kathryn S. Forst Name of the Respondent Hearing Site: Chicago, Illinois A.G. Edwards & Sons, Inc. and Richard J. Orzechowski REPRESENTATION OF PARTIES Claimants Edward H. Forst ("E. Forst") and Kathryn S. Forst ("K. Forst") hereinafter collectively referred to as "Claimants" were/?r< ? se. Respondents A.G.

Award NASD In the Matter of the Arbitration Between: ' Jack and Francine Feldman, Individually and as Co-trustees of the Jack Feldman Trust and Francine Feldman Trust, Claimants v. Mark Rittersporn, Prudential Securities, Inc., Raymond, James & Associates, Inc., Respondents Case Number: 01-06479 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Jack and Francine Feldman, Individually and as Co-trustees of the Jack Feldman Trust and Fra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Levine (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jack Schecter, and Mark J. Minutolo (Respondents) Case Number: 01-06478 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert Levine ("Levine") hereinafter referred to as "Claimant": Edward Newman, Esq., Newman & Cahn, L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-06477 Leroy King Eleanor King Names of Respondents Hearing Site: Tampa, Florida Allen Douglas Securities, Lie. Francis Ramesh Khan Stephen Douglas Pizzuti Richard Pizzuti David Walton Matthews, Jr. Mark Alan Thomes REPRESENTATION OF PARTIES For Leroy King and Eleanor King, hereinafter collectively referred to as "