AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Derek A. Rabe, Individually and as Custodian; and Julia Rabe, Individually and as Custodian. and Respondents A.G. Edwards, & Sons Inc., and Quinton Koch Case Number: 04-01953 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Derek Rabe and Julia Rabe,. ("Claimants"), were repres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aurora Fletcher, IRA, Claimant v. Jeffrey Collison, Richard Soares and Morgan Stanley Dean Witter, Respondents Case Number: 00-05754 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: For Respondents: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer Emeryville, California Ronald E. Wood, Esq. Morgan Stanley Dean Witter

(* * NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01946 Mark and Karen Tulper, Claimants v. Oppenheimer & Co. Inc. and James Gianni, Respondents ATTORNEYS: Claimants Mark and Karen Tulper, (collectively "Claimants") appeared pro se, through Mark Tulper, Chesterfield, MO. Respondents, Oppenheimer & Co. and James Gianni (collectively "Respondents") appeared through in-house counsel Evelyn Bukchin, Esq., New York, NY. NATURE OF DI

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01944 Anthony V. Serba, Claimant v. John K. Bruno, Respondent ATTORNEYS: Claimant Anthony V. Serba ("Claimant") appeared pro se, Houston, TX. For Respondent John K. Bruno ("Respondent") appeared Jackie M. Gorham, Esq., of the firm Ogden, Gibson, White, Broocks & Longoria, LLP, Houston, TX. NATURE OF DISPUTE; Customer v. Associated Person. DATE FILED: March 22, 2004. CASE SUMMARY: Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01943 Barbara H. Booker Names of the Respondents Hearing Site: New Orleans, LA Morgan Stanley DW, Inc. Sarie Nerine Joubert-Durr Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara H. Booker, hereinafter referred to as "Claimant": W. Michael Cady, Esq., Cady & Cady, Round Rock, TX.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Donald P. Carner Names of the Respondents First Union Brokerage Services, Inc. n/k/a Wachovia Securities, LLC Duane Lasher Charles Gillingham Case Number: 04-01937 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Donald P. Carner, hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01936 Edith R.Thomas Names of the Respondents Hearing Site: Atlanta, Georgia Edward Jones and Doug Shaw, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edith R. Thomas, hereinafter referred to as "Claimant": William J. Gladden, Esq., Savannah, Georgia. For Edward Jones ("Edward Jone

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Les O. Starnes, Sally Starnes, and the Starnes Family Trust, Claimants v. Wachovia Securities, LLC #k/a Wachovia Securities, Inc. f/k/a. First Union Securities, Inc., Wachovia Securities Financial Network, LLC, George Herve Blais, Jr., George H. Blais, III, David Albert Boyer, and James E. Thomas, Jr., Respondents Case Number: 04-01932 Hearing Site: Los Angeles, California Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geraldine Wales, Claimant v. Prudential Equity Group, LLC (f/k/a Prudential Securities, Inc.), Gloria Liebig (a/k/a Gloria Riggio), and Christopher Coloracci, Respondents , • Case Number: 04-01930 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES , < , i For Claimant: Timothy A. Canning, Esq. Novato,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Levanger, Claimant v. Brookstreet Securities Corporation, Richard L. Brown and Anthony Costanzo, Respondents Case Number: 04-01925 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Stephen M. Hansen, Esq. Lowenberg, Lopez, & Hanson, P.S. Tacoma, Washington Celeste Chiamonte, Esq.