Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert Anthony Cvitanovich. Claimant v. TITAN/Value Equities Group, Inc. and Jeffrey L. Bordok, Respondents Case Number: 00-00404 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning San Francisco, California For Respondents: G. Thomas Fleming 3JL Esq. Craig R. Bockntan, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lori Hurson (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Abbey H. Gladstone (Respondents) Case Number: 02-05009 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lori Hurson ("Hurson") hereinafter referred to as "Claimant": J. Kirkland Grant, Esq., Law Offices

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Talerico and John Talerico IRA (Claimants) v. Salomon Smith Barney, Inc. and George Mulvey (Respondents) Case Number: 02-05008 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, John Talerico ("J. Talerico") and John Talerico IRA ("J. Talerico IRA"), hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stephen Peritz Name of the Respondent PaineWebber Incorporated d/b/a UBS PaineWebber, Inc. Case Number: 02-05007 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Stephen Peritz, hereinafter referred to as "Claimant": Steven I. Weissman, Esq., Steven I. Weissman, P.A., Cooper

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05004 Mary Adrienne Laborde Parsons, individually and as trustee of the Trusts established for the benefit of Madison Laborde Parsons, Hayden Kastler Parsons, Jackson Lee Parsons and Anna Menitt Parsons Name of the Respondent Hearing Site: New Orleans, Louisiana Johnson Rice & Co., L.L.C. Name of the Third Party Respondent John Do

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marc Seymour and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 02-05001 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Marc Seymour ("Claimant") was represented by Annette M. Henry, Esq., Houston, Texas. Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch" or "

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of Claimant: ! Todd Kaufman vs. Case Number: 02-04999 Hearing Site: Houston, Texas Names of Respondents: Stephens, Inc., and Brent Yarbrough MATIIR Customer v. Member Firm and Associated Person Claimant, Todd Kaufman, hereinafter referred to as "Claimant," was represented by Annette M. Henry, Esq., in Houston, Texas. Respondents, Stephens, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Wayne and Peggy Cooper, individually, as Co-Trustees of the Peggy A. Cooper Family Trust, and as Co-Trustees of the Wayne Cooper Family Trust v. 02-04996 Minneapolis, Minnesota Respondents Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Joan Crawford Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant Case Number: 02-04989 Marvin T. Kistler Name nf the Respondent Hearing Site- Indianapolis, Indiana Raymond James & Associates, Inc. NATTTRF O mSPTTTF Customer vs. Member Firm HF.PTtF.SF.NT A TTON OF PATtTTFJg Scott L. Starr, Esq. of the law firm Starr, Austen, Tribbett, Myers & Miller located in Logansport, Indiana represented Claimant, Marvin T. Ki

ORIGINAL Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Weinstein, Individually and as Beneficiary and Trustee of the North American Gold, Inc. Defined Benefit Pension Plan, Claimants v. Merrill, Lynch, Pierce, Fenner, & Smith Incorporated and Margaret Mary Lavecchia Baldwin, Respondents Case Number: 02-04985 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: L. Joe Coppedge, Esq. Kummer Kaempf