Award NASD Dispute Resolution \ttft _ r*AH -Q A 0 , * M h: In the Matter of the Arbitration Between: '^^^Ano;^ Jeffrey Cieslak, Claimant / Counter-Respondent v. Datek Online Financial Services LLC, Respondent / Counter-Claimant 55 Case Number: 02-06266 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondent/Counter-Claimant

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Beard, Claimant v. Edward D. Jones & Co., L.P. and Lawrence S. Kerson, Respondents Case Number: 02-06265 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Michael Zeno, Jr., Esq. Zeno, Drake and Hively, P.S. Kirkland, Washington For Respondent Edward D. Jones & Co., L.P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Beard, Claimant v. Edward D. Jones & Co., L.P. and Lawrence S. Kerson, Respondents Case Number: 02-06265 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Michael Zeno, Jr., Esq. Zeno, Drake and Hively, P.S. Kirkland, Washington For Respondent Edward D. Jones & Co., L.P.: David H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Glenn K. Olson v. 02-06263 Minneapolis, Minnesota Respondents Charles Schwab & Company, Inc., Randy D. Groves, Leann A. Lenander and Webb Financial Group, L.L.C. and Cross Claimants Charles Schwab & Company, Inc., and Randy D. Groves v. Cross Respondents Leann A. Lenander and Webb Financial Group, L.L.C. Nature of Dispute: Customer v.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant' LeilahD. Schou and 02-06261 Phoenix, Arizona Name of Respondents . . RBC Dain Rauscher Inc. Larry K. Wetterschneider Richard E, Mundinger Rittenhouse Financial Services, Inc. Navellier & Associates, Inc. Nicholas-Applegate Capital Roxbury Capital Management LLC Nature of the Dispute: Customer vs. 1 Member, Associated Persons and N

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04097 Thomas L. Birt, Jr. Names of the Respondents Hearing Site: Tampa, FL Salomon Smith Barney, Inc. Larry Joseph McKenney Paul Gerard Chiampa REPRESENTATION OF PARTIES For Thomas L. Bin, Jr., hereinafter referred 10 as "Claimant": John R. Kiefner, Jr., Esq., Kiefner & Renaldo, P.A., St. Petersburg, FL. For Salomon Smith Barney, Inc. ("SSB"), Larry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theodore Gonedes (Claimant) vs. Salomon Smith Barney Inc. (Respondent) Case Number: 02-06256 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Theodore Gonedes ("Gonedes"), hereinafter referred to as "Claimant": Eric Rosenberg, Esq., Altman & Company, P.C., New York, NY. Respondent, Salomon Smith Barney Inc., ("Salomon") hereinafter referred to as "Respondent"

NASD Dispute Resolution Arbitration No. 02-06255 Award Page 1 of 5 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc. (Claimant) v. Joshua Scherer (Respondent) Case Number:02-Q6255 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant": Douglas D. Callaway, Esq., Wachovia Securities, Inc., Vice President and Ass

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06253 Marilyn J. Peskin, IRA, claimant vs. Evan Farrell, Claire E. Holmes, and Wachovia Securities Inc., respondents. ATTORNEYS: Claimant appeared pro se, Pompano Beach, Fl. For Respondents appeared in-house counsel Andrew R. Park, Esq., Richmond, VA. DATE FILED: October 18, 2002 CASE SUMMARY: Claimant alleged that respondents misrepresented facts regarding her investments and were n

T CASE: 02-06252 Norman H. Jasper, Trustee, "The Jasper Trust" Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, Norman H. Jasper, Trustee, "The Jasper Trust" ("Claimant") appeared Pro Se., Tallahassee, FL. Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") appeared through its in-house counsel, Dimitri Nemirovsky, Esq., New York, NY. DATE FILED: October 18, 2002 CASE SUMMARY: Claimant all