AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Judith V. Roberts, individually and as Trustee of the Judith V. Roberts Trust and 99-04475 Kansas City, Missouri Name of Respondents Edward D. Jones & Co. Thomas D. Schlosser nON OF PARTIES Judith V. Roberts, individually and as Trustee of the Judith V. Roberts Trust ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name nf Claiip^^t Peace of Mind Services, Inc. Case No. 99-04395 Name nf Respondent Charles Schwab and Company, Inc. REPRESENTATION OF PARTIES For Peace of Mind Services, Inc. ("Peace of Mind"), hereinafter referred to as "Claimant": Robert B. Fromer, Vice President, Marketing, Peace of Mind Services, Inc., Melbourne, Florida. For Charles Schwab and Company, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan C Toczylowski vs. Name of Respondents G.W. Brokerage Group, Inc. IDS Financial Services, Inc. E. Joseph Wooters Award No. 93-04623 REPRESENTATION For Claimant, Susan C. Toczylowski ("Claimant"), Bruce E. Baldinger, Esq., attorney-at-law, located in Somerville, New Jersey. For Respondents, G.W. Brokerage Grou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rjaimant PaineWebber Incorporated 93-04622 Nameof RespnndPT^f Jaycee Sonne REPRESENTATTOTSJ For Claimant: PaineWebber Incorporated ("PaineWebber") was represented by James L Komie Esq. of Schuyler Roche & Zwimer, located in Chicago, Illinois. For Respondent: Jaycee Sonne ("Sonne") appeared pro se. CASE INFORMATTOV Statement of Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Lou Mull, Claimant and Paul A. Barr, Barr Asset Management, and FSC Securities, Inc., Respondents. Case Number: 01-06360 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Mary Lou Mull, ("Claimant") was represented by Gail E. Boliver, Esq, Boliver Law Firm, Marshalltown, Iowa. Respondents Paul A. Barr ("Barr"), Barr Asset Management (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dave & Dave, Inc., f/k/a Grove Securities, Inc., Claimant v. Ragen MacKenzie, Inc., Respondent Case Number: 00-02224 Hearing Site: Portland. OR REPRESENTATION OF PARTIES For Claimant: Steven M. Wilker, Esq. Tonkon Torp LLP 888 S.W. Fifth Avenue Suite 1600 Portland, OR 97204 For Respondent: Anthony Paduano, Esq. Paduano & Weintraub LLP 1384 Broadway

95-02686 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIOnES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Barbara Humphreys Name of Respondent The Ohio Company REPRESENTATION For Claimants Richard and Barbara Humphreys ("Humphreys"): Jeffrey P. Coleman, Esq., Clearwater, Florida. For Respondent The Ohio Company: Marion H. Little, Jr. Esq., Columbus, Ohio. CASE INFORMATION Statement of Claim filed: May 30,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Claimants Joe F. Brem, Jr. and Bobby C. Brem and Case Number 95-02678 Names of Respondents A.G. Edwards Sc Sons, Inc. and Clifford J. Holland REPRESENTATION OF PARTIES Joe F. Brem, Jr. and Bobby C. Brem ("Claimants") were represented by William S. Shepherd, Esq. of William S. Shepherd «& Associates, Inc. located in Houston, TX. A.G. Ed

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert J. Niewinski and Name of Respondents Olde Discount Corp. Steven John Kann NASD Case Number: 95-02674 REPRESENTATION OF PARTIES Claimant Robert J. Niewinski ("Claimant") was represented by Lawrence S. Schultz, Esq. of Driggers, Schultz, Herbert & Paterson located in Troy, Michigan. Respondents Olde Discount Corp.

No. 95-02630 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTTRITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rebecca Rihn Sandi Cogbill Name of Respondents Bradley McClure Harris Securities REPRESENTATION The Claimants, Rebecca Rihn and Sandi Cogbill, were represented Stewart H, Thomas, Esq., of Beckham & Thomas, located in Dallas, Texas. The Respondent, Bradley McClure, was represented by Conant Whittenburg, Esq.