\ AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant June M. Goltz and 02-07457 Milwaukee, Wisconsin Name of Respondents Edward Jones and Richard R. Alsteen REPRESENTATION OF PARTIES Nature of the Dispute: Customer vs. Member and Associated Persons June M. Goltz ("Claimant") or ("Goltz") was represented by Mark J. Mahoney, Esq. of Cassiani Law Offices, located in Black Creek, Wisconsin. Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judd E. Kemp and Judy S. Kemp v. Merit Capital Associates, Inc., Bear, Stearns Securities Corp., and Oliver Claude Ware III, Respondents Case Number: 00-04224 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: For Respondents Bear, Stearns Securities Corp. & Merit Capital Associates, Inc.: For Respondent Oliver Claude Ware III: James D. G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jamil Hodaly, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 02-07456 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert M. Moss, Esq. Law Offices of Robert M. Moss, Inc. Santa Monica, California For Respondent: John L. Erikson, Jr., Esq. Robert J. Girard, Esq. Jon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07455 Margaret E. Jahnke, Claimant vs. Norman Amos Maust and ProEquities, Inc. Respondents. ATTORNEYS: For Claimant, Margaret E. Jahnke ("Claimant") appeared John William Davis, Jr. Esq. of the Law Offices of Davis & Roose, Goshen, IN. For Respondents, Norman Amos Maust and ProEquities, Inc. (collectively "Respondents") appeared Robert D. Emmerson, Esq. of the Law Offices of White & Raub, LL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant C. Ruby Faverio v. 02-07452 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Wells Fargo Brokerage Services, LLC, and Gregory C. Richardson Nature of Dispute; Customer v. Members and Associated Person REPRESENTATTON OF PARTIES C. Ruby Faverio ("Claimant") was represented by Thomas A. Swett, Esq., of Hurth, Sisk, Yeager & Blakemo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda S. Reynhout, Linda Reynhout IRA, and Ramon H. Caputo IRA (Claimants) v. S.C. Parker & Company, Inc., Kenneth R. Stewart, and Richard M. Hilliker (Respondents) Case Number: 02-07451 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Linda S. Reynhout ("L. Reynhout"), Linda Reynhout IRA ("L. Rey

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07450 Eugene H. Axelrod, Claimant vs. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: Claimant, Eugene H. Axelrod ("Claimant") appeared Pro Se., Plymouth, MI Respondent, Charles Schwab & Co., Inc., ("Respondent") appeared through its in-house counsel, Brandon K. Hemley, Esq., San Francisco, CA. DATE FILED: December 10, 2002 CASE SUMMARY: Claimant alleged that he requested that Respond

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Dresdner Kleinwort Wasserstein Securities, LLC, (Claimant) vs. FTC Securities, Inc. (Respondent) Case Number: 02-07444 Situs: New York, New York REPRESENTATION OF PARTIES: Dresdner Kleinwort Wasserstein Securities, LLC, hereinafter referred to as "Claimant": Mark S. Cohen, Esq., Cohen & Gressler, LLP, New York, NY. Previously represented by: Walter Petzinger, Esq., Director & As

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Thomas W. Geoghegan and Donna S. Geoghegan and 02-07438 Phoenix, Arizona Name of Respondents Greenberg Financial Group f/k/a Greenberg Nehls & Co., LLC Dean S. Greenberg REPRESENTATION OF PARTIES Thomas W. Geoghegan and Donna S. Geoghegan ("Claimants") were represented by Bruce R. Heurlin, Esq., Karp, Heurlin & Weiss, P.C., Tucson, Arizona. Green

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. f/k/a First Union Securities, Inc. and Anthony Lapia, Claimants, vs. William A. Stephens, Jr., Respondent. Case Number: Hearing Site: 02-07435 Houston, Texas Nature of Dispute: Member Firm and Associated Person vs. Customer ttv.pF.g.NT A HN n Claimants, Wachovia Securities, Inc. f/k/a First Union Securities, Inc. and Anth