AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew K. Alepra and 02-05810 Louisville, Kentucky Name of Respondents Edward D. Jones & Co. Joe M. Turner Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Andrew K. Alepra ("Claimant") was represented by Rodney J. Heggy, Esq., Day, Edwards, Propester & Christensen, P.C., Oklahoma City, Oklahoma. Edwar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frederick C. Rieck and 02-05809 Phoenix, Arizona Name of Respondents Jefferson Pilot Securities Corporation Polaris Financial Services, Inc. Gerald L. Rosanbalm Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Frederick C. Rieck ("Claimant") appeared pro se. Jefferson Pilot Securities Corporation ("Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Adam Reback (Respondent) and Richard P. Barnett and Adam J. Reback (Claimants) v. Fahnestock & Co., Inc. (Respondent) and Fahnestock & Co., Inc. (Claimant) v. Richard P. Barnett (Respondent) Case Numbers: 02-05807 (consolidated w/02-06041 and 02-06249) Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth E. Palmer IRA, Sandra Palmer IRA, Kenneth E, Palmer Trust, Sandra Palmer Trust, and Mt. Auburn OB/Gyn Pension Plan #b/o Kenneth Palmer (Claimants) v. Morgan Stanley DW, Inc., Thomas Cams, Peter Bouley, and Debra Brown (Respondents) Case Number: 02-05806 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Michael J. and Charlene A. Englert Case Nrnnher 02-05801 Names of the Respondents David E. Martin Network for Financial Independence, LLC Rearing Site- Pittsburgh, PA Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTTF.S Claimants, Michael J. and Charlene A. Englert, hereinafter collectively referred to as

Award solution iUL^-i i ; tAfl •" H A C-- JTTCT r™\ O- O O NASD Dispute Resolution In the Matter of the Arbitration Between: " ! ' E*Trade Securities, Inc., Claimant v. Jack Vaughn, Respondent Case Number: 02-05800 Hearing Site: Seattle, Washington Nature of the Dispute: Member Firm v. Customer REPRESENTATION OF PARTIES For Claimant: John Bersin, Esq. E*Trade Securities, Inc. Rancho Cordova, California For Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05795 Marian Mason, claimant vs. Vincent E. Austin, respondent. ATTORNEYS: Claimant appeared pro se, Ozone Park, NY. For Respondent appeared Kevin J. Deloatch, Esq., of the firm Bressler, Amery & Ross, P.C., New York, NY. DATE FILED: September 30, 2002 CASE SUMMARY: Claimant alleged that respondent failed to provide her with information regarding the status of her Stone & Webster sto

UiSPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05794 Ohrena E. Gale, claimant vs. Carl J. Basile and Salomon Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Hudson, NY. For Respondents appeared Ann Parry, Esq., New York, NY. DATE FILED: September 9, 2002 CASE SUMMARY: Claimant alleged that respondents made investments that were unsuitable to his investment objectives. Claimant maintained that due to respondents' acti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Anthony Martella (Claimant) v. Salomon Smith Barney, Inc. and Frank Melia, (Respondents) Case Number: 02-05793 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Anthony Martella, hereinafter referred to as "Claimant": represented by Michael S. Finkelstein, Esq., Finkelstein & Feil LLP, Gard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Schiffinan IRA and Nancy Schiffinan IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Steve Vincenzo Costanzo, and Steven Smola (Respondents) Case Number: 02-05790 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants James Schiffman IRA ("J. Schiffrnan IRA") and Nancy Schiffinan IRA