Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05126 Morgan Keegan & Company, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia Glenn Herrin Jana Herrin Names of the Third Party Respondents Regions Bank Regions Investment Management Holding Company, Inc. Regions Financial Corporation Leonard Clifton Skelton, Jr. Nature of the Dispute: Member vs. Custo

Award NASO Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janney Montgomery Scott LLC Name of the Respondent Marlene Hart Nature of the Dispute: Member vs. Associated Person Case Number: 02-05124 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, referred to as "Claimant": Michael S. Taaffe, Esq., Jennifer B. Compton, Esq. and Lisa C. Conley, Esq., Abel, Band, Russ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05123 Ruby G. Samples, a widow Names of the Respondents Hearing Site: Atlanta, Georgia Washington Square Securities, Inc. Bruce J. Hearn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ruby G. Samples, hereinafter referred to as "Claimant": Hank D. Fellows, Jr., Esq., Fellows,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter Respondent Case Number: 02-05118 John G. Enright Name of the Respondent/Counter Claimant Hearing Site: Chicago, Illinois Wachovia Securities Type of Controversy: Associated Person v. Member Firm REPRESENTATION OF PARTIES Claimant/Counter Respondent John G. Enright ("Enright") was represented by Thomas M. Knepper, Esq. of the firm Knepper & Gladne

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Chateau Oil & Gas, Heritage International Holdings, and Financial Services Investments, Inc. V. 02-05116 Denver, Colorado Respondents Global Capital Securities Corporation, Global Capital Partners, Inc., and Martin Sumichrast REPRESENTATION OF PARTIES Chateau Oil & Gas, Heritage International Holdings, and Financial Services Investments, Inc. ("Claim

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James A. Hanson and 00-03961 Minneapolis, Minnesota Name of Respondent Scottsdale Securities, Inc. REPRESENTATION OF PARTIES James A. Hanson ("Claimant") was represented by Geoffrey P, Jarpe, Esq., Maslon Edelman Borman & Brand LLP, Minneapolis, Minnesota. Scottsdale Securities, Inc. ("Respondent") was represented by Steven M. Sherman, Esq., Tho

NASD Dispute Resolution' In the Matter of the Arbitration, Between: nf the Claimant Morgan Keegan & Company, Inc. and i * ' i i Man^ of the Marshall Grimes T" 02-05114 Hearing Site- Houston, Texas PATJTTF.S Claimant Morgan Keegan & Company, Inc. hereinafter referred to as "Claimant," was represented by J.P. Brizz61ara, Esq. of Morgan Keegan & Company located in Memphis, Tennessee. , Respondent Marshall Grimes, hereinafter ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Claimant, vs. Jennifer Harrell, Respondent. Case Number: Hearing Site: 02-05113 Houston, Texas OF Claimant Morgan Keegan & Company, hereinafter referred to as "Claimant" or "Morgan Keegan," was represented by J.P. Brizzolara, Esq. of Morgan Keegan & Company located in Memphis, Tennessee. Respondent Jennifer Harrell, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ( Name of the Claimant Case Number: 02-05109 Bruce Zipper Name of the Respondent Hearing Site: Boca Raton, Honda Sands Brothers & Co., Ltd. Nature of Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bruce Zipper, hereinafter referred to as "Claimant": Pamela A. Leone, Esq., Pamela A. Leone, P.A., Ft. Lauderdale, Florida. For Sands Brothers & Co.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pass Niimhflr 02-05108 Ludwig Muller Name of the Respondents Hearing Site: Raleigh, NC Raymond James Financial Services, Inc. Richard E. Mayer Nature of the Dispute: Customer v. Member and Associated Person. HFPRKSKNTATTON OF PARTIES Claimant, Ludwig Muller, hereinafter referred to as "Claimant"., was represented by William B. Little, Esq.