Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06627 Robert C. Fortenberry, M.D. Dolores S. Fortenberry Names of the Respondents Hearing Site: New Orleans, LA Victor I. Talbert H.D. Vest Investment Securities, Inc. H.D. Vest Advisory Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert C. Fortenberry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case. Number 02-06626 George M. Ruppert nf thf pffspflnHftnts Hearing Site: Washington, DC Deutsche Bank Securities, Inc. William Mark Clark Nature of the Dispute: Customer vs. Member and Associated Person. RFPRRSFNTATTONT OF PARTTF.S Claimant, George M. Ruppert ("Claimant"), was represented by Michael Knoll, Esq., Law Office of Michael Knoll, Briarcliff Manor, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 02-06625 Anthony G. Teti Name nf the Respondents Hearing Site- Philadelphia, PA Jason Remini Seaboard Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Anthony G. Teti, hereinafter referred to as "Claimant", was represented by Anthony J. Horn, Esq., Attorney at Law, New

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Name of Claimant GKN Securities, Inc. Case No. 00-04132 Names of Respondents Newbridge Securities Corp. Howard Frank Weinman Nick Apostolos Mountoulias Jason L. Kerprich Richard Furtnan Edwards, Jr. Richard Nelson Pagan Ralph Merhi Scott Howard Goldstein Guy Steven Amico REPRESENTATION OF PARTIES For GKN Securities, Inc. ("GKN"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Lee Small Marlene L. London Richard Lee Small and Marlene L. London Names of the Respondents A.G. Edwards & Sons, Inc. Robert W. Baird & Co. Incorporated Case Number: 02-06624 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES For Richard Lee Small, Marlene L. London, and Richa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Melvin Schanno v. 02-06623 Minneapolis, Minnesota Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute: Customer v. Member REPRESENTATION OF PARTTES Melvin Schanno ("Claimant") was represented by Harvey Eckart, Esq., of Eckart &Leonetti, P.A., St. Paul, Minnesota. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was represented b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: n air pant Cas^Mmnher: 02-06622 Aaron Pearlman; Jeneane Pearlman; NFSC/FMTC IRA FBO Aaron Pearlman; and NFSC/FMTC IRA FBO Jeneane Gartner Pearlman nf th p ppqvwHpnts , Hearing Site: Dallas, Texas. Brookstreet Securities Corp.; Michael P. Harris; and, Stanley Clifton Brooks TVATTTPF Public Customers v. Member Firm and Associated Persons FP VATTON O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06621 Miriam S. Korfhage Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. Joey S. Stone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Miriam S. Korfhage, hereinafter referred to as "Claimant": S. David Anton, Esq., Law Offices of S. David Anton, P. A.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06620 Richard Ray, Charles Ray and Ray Services, Inc., an Alabama corporation Names of the Respondents Hearing Site: Atlanta, Georgia Aura Financial Services, Inc. Sterne, Agee & Leach, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard Ray ("RR"), Charles Ray ("CR") and Ray Services, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roderic Johansen, Linda Johansen, Robert L. Haskell, Joyce C. Haskell, Conan Johansen, and Joel Johansen, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Henry Blodget, Justin Baldauf, Virginia Syer Genereux, Sofia Ghachem, Thomas Mazzucco, Edward McCabe, Deepak Raj, John Weaver, Greg Jensen, and Robb Thomas, Respondents Case Number: 02-06618 Hearing Site: Seattle,