Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the PI aim ants flase Nnmhfir- 02-05639 Zelmar and Barbara Harrison Name of the Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW Inc. Scott Seig Brown and Company Securities Corporation REPRESENTATION OF PARTIES Claimants, Zelmar and Barbara Harrison, hereinafter collectively referred to as "Claimants", represented themselves at the hearing. Respo

Award NASD Dispute Resolution Wf In the Matter of the Arbitration Between: Jack Nelson, as trustee of the Jack Nelson IRA, Cathy Nelson, as trustee of the Cathy Nelson IRA, Cathy Nelson as trustee of the Jack Nelson 99 Charitable Remainder Trust, Jack Nelson and Cathy Nelson, as trustees of the Nelson Family Trust, Claimants v. Self Trading Securities, Inc., John B. Pearson, Eric P. Weschke, and John L. McArdle, Respondents Case Number: 02-05635 Hearing

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between < • Claimant i . i i- • • Intercultural Student Experiences ' ' v. 02-05633 Minneapolis, Minnesota Respondents ; ' Wells Fargo Investments, LLC and Gregory A. Stauffer ' ' r i ', > Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES r. '! • ! Intercultural Student Experiences ("Claimant") was represented by Thomas H. G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jules H. Bohn and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kevin B. Murphy Case Number: 02-05631 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jules H. Bohn ("Claimant") was represented by Clarence F. Kendall II, Esq., Clarence F. Kendal

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04036 Lucy E. Thater, Claimant vs. Michael B. Ballard and ProEquities, Inc., Respondents. ATTORNEYS: Claimant, Lucy Thater, ("Claimant"), appeared Pro Se., Hauppauge, NY. Respondents, Michael B. Ballard and ProEquities, Inc., (collectively "Respondents"), appeared though their Senior Compliance Office, Donna A. Byrne, Birmingham, AL. DATE FILED: September 14, 2000 CASE SUMMARY: Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05630 Viola Scaven Name of the Respondents Hearing Site- Philadelphia, PA Lawrence R. Malcolm Malcolm & Co. Asset Management, Inc. Name of the Third-Party Respondent Michael Scaven Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SKNTATTON OF PARTTF.S Claimant, Viola Scaven, hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Eugene Kratus, Claimant v. Robertson Stephens, Inc., Respondent Case Number: 02-05626 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Patrick Eugene Kratus In Propria Persona Berkeley, California For Respondent: Michael J. Loeb, Esq. Bingham McCutchen LLP San Francisco, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald G. and Tanya J. Clark Case Number:- 02-05623 v. Merrill Lynch, Pierce, Fenner& Smith, Inc. and Hearing Site: Albuquerque, New Mexico Charles Forte NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Donald G. and Tanya J. Clark, ("Clarks"), hereinafter collectively referred to as "Claimants": Frank

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05619 Cherrie A. Miller, claimant vs. Jac Comfort-Edward Jones, respondent. ATTORNEYS: Claimant appeared pro se, Stanley, KS. For Respondent appeared in-house counsel, Kimberly G. Jones, Esq., St. Louis, MO. DATE FILED: September 23, 2002 CASE SUMMARY: Claimant alleged that respondent made misrepresentations and omitted facts regarding investments that respondent recommended to her. Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David B. Cheairs Revocable Trust DTD 4-16-90 David B. Cheairs, Trustee Names of the Respondents Morgan Stanley DW, Inc. Michael Munson Case Number: 02-05614 Hearing Site: Little Rock, AR Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David B. Cheairs Revocable Trust DTD 4-16-90 David