Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03054 Krishna C. Tripathi, Individually and as Trustee of the Krishna C. Tripathi Trust Usha R. Tripathi, Individually and as Trustee of the Usha R. Tripathi Trust Names of the Respondents Hearing Site: Tampa, FL A.G. Edwards & Sons, Inc. Securities America, Inc. Greg Sutfin John Romano Nature of the Dispute: Cust

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ella Joan Replogle, Trustee of the Replogle Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert A. Bos Case Number: 03-03051 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ella Joan Replogle, Trustee of the Replogle Trust, h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03049 Michele D'Amour and Anthony Fleming JNT James L. Jones Darlene Jones Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Dan Hess Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michele D'Amour and Anthony Fleming JNT, James L. Jones and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Frederick Scharer v. Case Number: 03-03044 Minneapolis, Minnesota Respondents UBS Paine Webber, Inc. and Michael Hack Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Frederick Scharer ("Claimant") was represented by Robert C. Moilanen, Esq., Zimmerman Reed, P.L.L.P., Minneapolis, Minnesota. UBS Paine W

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Charles and Carol Quenneville and 03-03042 Phoenix, Arizona Name of Respondents Berry-Shino Securities, Inc. Richard D. Sheneman > Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Charles and Carol Quenneville ("Claimants") were represented by Richard A. Nervig, Esq., Fallbrook, California. Berry-S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant ) Case Number 03-03039 Michael Ferman ) Name of thp Respondents ) Hearing Siie: St. Louis, Missouri A.G. Edwards & Sons, Inc., ) A.G. Edwards, Inc., and Compensation ) Committee of A.G. Edwards & Sons, Inc., ) Plan Administrator for the A.G. Edwards, Inc.) Excess Profit Sharing Deferred ) Compensation Plan, and Plan Administrator ) of the A.G. Ed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Rapisarda and Barbara Kathleen Rapisarda aka Barbara Contreras, Claimants v. RBC Dain Rauscher Inc. and Frank Orlando, Respondents Case Number: 03-03036 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven P. Chang, Esq. Wild Chang, Esq. Wild Chang & Chang City of Ind

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rajiv K. Aggarwal and Madhu Aggarwal, (Claimants) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 01-01255 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Rajiv K. Aggarwal ("R. Aggarwal") and Madhu Aggarwal ("M. Aggarwal"), hereinafter collectively referred to as "Claimants": Erwin Cohn, Esq., Cohn & Cohn, Chicago, IL. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paulson Investment Company, Inc. (Claimant) v. Epifanio Almodovar, Wossen Belay, Nicholas Ferrer, and Noel Yulfo (Respondents) Case Number: 03-03034 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Persons. , REPRESENTATION OF PARTIES Claimant Paulson Investment Company, Inc. ("Paulson") hereinafter referred to as "Claimant": Scott A. Shorr, Esq., pre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher J. Davis (Claimant) v. Wise A. Skillman, III, Samuel Sherr, and Mark Allen Lefkowitz (Respondents) Case Number: 03-03033 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Christopher J. Davis ("Davis") hereinafter referred to as "Claimant" appeared pro se. Respondent Samuel Sherr ("Sherr")