Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00247 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Robert Bell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Flo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberly C. Marcucci, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Marsha Kemppainen, Respondents Case Number: 03-00244 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Charles Flynn, Esq. Burr, Pease & Kurtz Anchorage, Alaska For Respondents: Dennis K. Egan, Esq. Bu

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Scott W. Roberts, Steven D, Roberts, and Shauna M. Roberts, as Trustees for and on behalf of the Revocable Trust of Donald V. Roberts, Steven D. Roberts, individually, and as Trustee for and on behalf of the Wendy Jean Roberts Trust, Margot B.J. Roberts, individually, and Shauna M. Roberts, individually v. 03-00236 Minneapolis, Minnesota R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00233 Ronald A. Pickering Olivia Pickering Names of the Respondents Hearing Site: Boca Raton, Florida LH Ross & Company, Inc. Fernando Fernandez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald A. Pickering and Olivia Pickering, hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00229 Larry J. Tracy Names of the Respondents' t Hearing Site: Tampa, Florida Michael P. Tracy Holly Chandler Tracy ' : Sarasota Asset Management, Inp. REPRESENTATION OF PARTIES Larry Tracy, hereinafter referred to as "Claimant", appeared pro se. Michael P. Tracy ("MPT") and Holly Chandler Tracy ("HCT"), appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David A. Rawlings Name of the Respondent The Advisors Group, Inc. Name of the Third Party Respondent James D. Sadlier Case Number: 03-00228 (Consolidated with 03-02487 and 03-02488) Hearing Site: Atlanta, GA Nature of the Dispute: Customer vs. Member vs. Associated Person. In the Matter of the Arbitration Between: Names of the Claiman

Award NASD Dispute Resolution In the Matter 01 tne Arbitration between: Name of the Claimant Case Number: 03-00224 Robert Fraiberg Names of the Respondents Hearing Site: Boca Raton, Florida Bane of America Investment Services, Inc. Daniel T. Schmidt Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Fraiberg ("Fraiberg"), hereinafter referred to as "Claimant": Justin Kam, Esq. and David Fei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Tully and Colleen Tully JTTEN, Colleen Tully c/f Gavin Tully, Colleen Tully c/f Shannon Tully, Richard Tully IRA, and Colleen Tully IRA (Claimants) v. A.G. Edwards & Sons, Inc., James J. Coughlin, and Randall Ferraro (Respondents) Case Number: 03-00218 Hearing Site: City, State Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PAR

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth A. Barton and Charnie Stein, (Claimants) vs. Hampton Porter Investment Bankers and Troy Peters, (Respondents) Case Number: 00-04319 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Kenneth A. Barton ("Barton") and Charnie Stein ("Stein"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Hampton Porter Investmen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Bauer (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 03-00216 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Charles Bauer ("Claimant") hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino, PLLC, Williamsville, NY. Resp