Award NASD Dispute Resolution In the Matter of the Arbitration Between: - 03-08482 Fred S. Stovall, Jr., In His Capacity As Guardian of the Person and Estate of Stephen L. Stovall, and as Assignee of the Claims of Fred S. Stovall, Sr. and Anita E. Stovall ft nf fop T^fispnnHftitf ^fcprincr Sitflr Dallas, Texas Edward D. Jones & Co. TVATTTRT? OF Tfff. TMSPTTTF Public Customer v. Member Firm OF PRTTVS Claimant Fred S. Stovall, Jr.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert G. Baird Sharron H. Baird Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Joe Rice Case Number: 03-08481 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert G. Baird and Sharron H. Baird, hereinafter collectively ref

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08476 Kimberly Scherrey Name of the Respondent Hearing Site: Fort Smith, Arkansas A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Kimberly Scherrey, hereinafter referred to as "Claimant": Gary W. Udouj, Esq., Gary W. Udouj, P.A., Fort Smith, Arkansas. For A.G. Edw

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08469 Kimberly L. Christian, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Respondent ATTORNEYS: For Claimant Kimberly L. Christian ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Kathryn R. Eldridge, Esq., of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald J. Zuk, Donald J. Zuk as Trustee of the Donald J. Zuk Living Trust, and Donald J. Zuk as Custodian for Joseph Zuk, Claimants v. Credit Suisse First Boston LLC and Michael A'. Margiotta, Respondents Case Number: 03-08462 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Fo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert N. Harris and Joanne Z. Harris, individually and as Trustees of The Robert N. Harris and Joanne Z. Harris Revocable Trust, Claimants v. First Securities USA, Inc. and Dane S. Faber, Respondents Case Number: 00-01675 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Ira P. Rothken, Esq. Rothken Law Firm San Rafael, California Th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-00194 John Skiersch Hearing Site: Chicago, Illinois v. Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc., First Options of Chicago, Inc. a division of Spear Leeds & Kellogg, Mellon Bank, Bright Trading, Inc., Robert Bright, Edward Franco, and Jim Nickl and Name of the Counterclaimants First Options of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; William Kelly, Claimant v. First Security Van Kasper and David Crockett, Respondents Case Number: 00-00021 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jerome Sapiro, Jr., Esq. The Sapiro Law Firm San Francisco, California For Respondents: Peter R. Boutin, Esq. Keesal, Young & Logan San Francisco, California CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08461 CISC World Markets Corporation, Claimant v. Christine M. Ferrari, Respondent. ATTORNEYS: Claimant, CIBC World Markets Corporation, ("Claimant"), appeared through their in-house counsel, Liz Aylett, Esq., New York, NY. Respondent, Christine M. Ferrari, ("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Platmflntg Pare Number 03-08459 Warren J. Cox, Individually and as Trustee U/A dated March 22, 1985 for the Benefit of Alexandra L. Cox and as Trustee U/A dated March 22, 1985 for the Benefit of Samuel O. Cox Claire A. Cox , Individually and as Trustee U/A dated March 22, 1 985 for the Benefit of Alexandra L. Cox and as Trustee U/A dated March 22, 1985 for the Benefi