AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James D. Oberg, IRA Custodian and Case Number: 02-06219 Hearing Site: Troy, Michigan Name of Respondent Edward D. Jones & Co. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES James D. Oberg, IRA Custodian ("Claimant") was represented by Lawrence M. Elkus Esq., Lawrence M. Elkus, P.L.C., Farmington Hills, Michigan. Edward D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06218 Diana L. Williams Name of the Respondents Hearing Site: Indianapolis, Indiana John L, Schutz and J.J.B. Hilliard, W.L. Lyons REPRESENTATION OF PARTIES Mark E. Maddox, Esq. of the Firm Maddox Hargett & Caruso, P.C. in Fishers, Indiana represented Claimant Diana L. Williams hereinafter referred to as "Claimant." i Kenneth F. B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06217 Matthew R. McCabe, claimant vs. Sharon Moses-Coleman and Charlyce Friday, respondents. ATTORNEYS: Claimant appeared pro se, Hutchinson, KS. For Respondents appeared in-house counsel of Salomon Smith Barney Inc., Ann Parry, Esq., New York, NY. DATE FILED: October 17, 2002 CASE SUMMARY: Claimant alleged that respondents failed to carry out his orders promptly and breached their f

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Koehler Lodging LLC, William Johns, Carol Johns, Ray Thomas, Leonard Anderson, Diane Anderson, Charles Anderson, Nancy Anderson, Stephen Petty and Robin Petty v. 02-06215 Minneapolis, Minnesota Respondent Charles Schwab & Company, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Koehler Lodging LLC, William Johns, Carol Johns, Ra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^T 02-06214 Toni L. Woody, individually, and on behalf of the ToniL. Woody IRA Site* Dallas, Texas Morgan Stanley DW Inc.; Morgan Stanley & Co., Incorporated; Philip J. Purcell; Timmy D. Foster; and, Sara T. Stalcup NATTTRF Of THF mSPTTTF Customer vs. Member and Associated Person n PAPTTW.S Claimants Toni L. Woody ("Woody"), individually and on behalf of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Green and Allen Green, Co-Executors for the Estate of Beatrice Green and Case Number: 02-06212 Hearing Site: Southfield, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith and Anne Cook-Kuhnle NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Beatrice Green ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06211 Joseph L. DeNicola Ramona M. Denicola Name of the Respondent Hearing Site: Tampa, Florida First Union Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph L. Denicola ("JLD") and Ramona M. Denicola ("RMD"), collectively referred to herein as "Claimants": S. David Anton, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Clyde I. and Ethel L. Dawson Family Trust. Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 00-04090 Hearing Site: Los Aneeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: CASE INFORMATION Steven L. Miller, Esq. Law Offices of Steven L. Miller Woodland Hills, California Kenneth S. Gaincs, Esq. K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06204 John Varjabedian, Claimant vs. Ameritrade, Inc., Respondent. ATTORNEYS: Claimant, John Varjabedian, ("Claimant") appeared Pro Se., Las Vegas, NV. Respondent, Ameritrade, Inc., ("Respondent"), appeared through its in-house counsel, James J. Vihstadt, Esq., Bellevue, ME. DATE FILED: October 15, 2002 CASE SUMMARY: Claimant alleged that Respondent charged excessive fees for margin inte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Concord Equity Group (Claimant) v. M.B. Schreiber (Respondent) v. Ruthann Noosi, Esq. (Third-Party Respondent) Case Number: 02-06203 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person (Initial Claim). Member vs. Non-Member (Third-Party Claim). REPRESENTATION OF PARTIES Claimant The Concord Equity Group hereinafter referred to as "Claimant"