Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp. Claimant Mary Tebbe Case. Number 02-06184 Name nf the. Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Christine M. Brady Hearing Site: St. Louis, Missouri \FATTTttF Customer vs. Member Firm and Associated Person Bruce D. Oakes, Esq. of the law firm Oakes & Fosher, LLC, located in St. Louis, Missouri, represented the Cla

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joseph F. Novogratz and Insulation Distributors, Inc. v. 02-06183 Minneapolis, Minnesota Respondents Miller Steichen Kinnard, Inc., Aaron Michael Howe and Andrew John O'Connell Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Joseph F. Novogratz and Insulation Distributors, Inc. ("Claimants") were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elisa Jacobson IRA (Claimant) v. Donaldson, Lufkin & Jenrette Securities Corporation and Clark Reinhard (Respondents) Case Number: 02-06173 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Elisa Jacobson IRA ("Jacobson") hereinafter referred to as "Claimant": Ralph A. Gant, Esq., New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian Schaad (Claimant) v. Susquehanna Capital Group; Susquehanna Financial Group, LLLP; Susquehanna International Group, LLP f/k/a Susquehanna Partners, GP; and Susquehanna Ireland Limited (Respondents) Case Number: 02-06171 Hearing Site: New York, New York -s ___ Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Ian Schaad hereinafter re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf Claimants James and Jennifer Rogers and Case Number: 02-06167 Hearing Site: Houston, Texas Names nf Respondents RBC Dain Rauscher, Inc. and Richard F. Barrington, Jr. OF Customers v. Member Firm and Associated Person James and Jennifer Rogers ("Claimants") were represented by Matthew Turtle, Esq. and Sara Davis, Esq., Perkins Smith & Cohen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06165 Theresa Marie Bextermiller Names of the Respondents Caspar Martin Unterreiner Jeffrey J. Unterreiner _: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Theresa Marie Bextermiller ("Claimant"): appeared pro se. Respondents Caspar Martin Unterreiner ("C. Unterreiner") and Jeffrey J. Unterreiner ("J. Unterreiner")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Use Marcks, Claimant, vs. Bear, Stearns & Co., Inc. and Mark Steven Gardner, Respondents. Case Number: Hearing Site: 02-06161 Houston, Texas Nature of Dispute: Customer vs. Member and Associated Person. OF PARTTFS Claimant Use Marcks, hereinafter referred to as "Claimant," was represented by Frank V. Ghiselli, Esq. and Winston E. Cochran, Jr., Esq. of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ronald E. Maurer and Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets. Inc. Case Number: 02-06158 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Ronald E. Maurer ("Claimant") was represented by David B. Meyer, Esq., Smith Bovill, P.G., Saginaw, Michigan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06155 Joseph V. Royer Names of the Respondents Hearing Site: Boca Raton, Florida James Wesley Gutner UBS PaineWebber, Inc. f/k/a PaineWebber Incorporated Robert W. Baird & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph V. Royer, hereinafter referred to

NASD Dispute Resolution Arbitration No. 02-06153 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey A. Weisenfeld, (Claimant) v. A.G. Edwards & Sons, Inc., (Respondent) Case Number: 02-06153 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harvey A. Weisenfeld, hereinafter referred to as "Claimant": appeared pro se. Respondent, A.G. Edwards & Sons, Inc., hereinafter referred to as