Award NASD In the Matter ot the Arbitration between: Name of the Claimant Case Number: 01-06090 John Yuen Names of the Respondents Hearing Site: Boca Raton, Florida L.H. Ross & Company, Inc. Barry A. Kaufman For John Yuen ("Yuen"), hereinafter referred to as "Claimant": J.B. Grossman, Esq., Law Offices of BreitGrossman, Plantation, Florida. For Respondent L.H. Ross & Company, Inc. ("LHR"): Alan P. Fraade, Mintz & Fraade, P.C., New York, New

Award NASD In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. . Case Number: 01-06085 Name of the Respondent W. Frank Barnes Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": M. Jane Matoesian, Vice President and Counsel, Edwards, St. Louis, Missouri. W. Frank Barnes, hereinafter referred to as "Respondent, appeared pro se.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thff P1aimants_ Constance Lynn Erb David Frankel Ni miter 01-06078 Name nf the H&R Block Financial Advisors, Inc Mark R. Andrews Tearing Site? Philadelphia, PA RFPRFSFNTATTON OF PARTIES Claimants Constance Lynn Erb ("Erb") and David Frankel ("Frankel")* hereinafter collectively referred to as "Claimants", were represented by Douglas R. Lally, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Miriam C. Schisselbauer Names of the Respondents Salomon Smith Barney Richard Shotz Case Number: 01-06068 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Miriam C. Schisselbauer, hereinafter referred to as "Claimant": Christopher W, Wickersham, Sr., Esq. and Lloyd Bowers, Esq., Wickersham & Bowers, Daytona Beach, Florid

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Vlasis, Claimant v. Hoefer & Arnett, Inc. and Mark Simmons, Respondents Case Number: 01-06064 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. Law Offices of Anthony Englese San Francisco, California For Respondents: Kelly J. Moynihan, Esq. Keesal, Young & Logan San Francisco, California State

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mario F. Olivier! and Lauren J. Olivieri (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Ralph Yovane (Respondents) Case Number: 01*06063 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Mario F. Olivieri and Lauren J. Olivieri ("Mario and Lauren Olivieri") he

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Benton Partners Case No. 00-01624 Narpe, of R,espn ^ H pn|g Beemac Traders Mary J. Brown Hearing Site: Philadelphia, PA OF Claimant, Benton Partners, hereinafter referred to as "Claimant": Mark S. Henzel, Esq., Attorney at Law, Philadelphia, PA. Respondent, Beemac Traders, hereinafter referred to as "Beemac": Michael A. lanconelli, Esq., Klehr Harrison Harve

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpea of the Claimants - Case Number 01-06062 Rita and Ralph Anthony eq of the "Rf^pnnrlpTitg! Hearing Site- Philadelphia, PA Morgan Stanley DW, Inc. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Steven J. Cohen Andrew G. Guzzetti David S. Molotsky REPRESENTATION OF PARTTF.S Claimants Rita and Ralph Anthony, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06051 Kenneth and Patricia Ball Names of the Respondents Hearing Site: St. Louis, Missouri Stifel, Nicolaus & Company, Inc. Arthur E. Sprung REPRESENTATION OF PARTIES Claimants Kenneth and Patricia Ball ("Claimants"): Steven W. Koslovsky, Esquire, of Blumenfeld, Kaplan & Sandweiss, P.C., St. Louis, Missouri. Respondents Stifel, Nico

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06048 Maria E. Cabrera, TTEE, Jorge M. Cabrera, MD, PA PSP & TR; Maria E. Cabrera; and, Jorge M. Cabrera, MD,IRA Names of the Respondents Hearing Site: Boca Raton, Florida Westport Resources Investment Services, Inc., Sterling Financial Investment Group, Inc. and Scott Furman REPRESENTATION OF PARTIES For Maria E. Cab