Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael O. Sanderson (Claimant) v. Omar Amanat, Tradescape Securities, and Tradescape Corp. (Respondents) Case Number: 02-04866 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael O. Sanderson hereinafter referred to as "Claimant": C. Evan Stewart, Esq., Brown Raysman Millstein Fel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Matin (Claimant) vs. Prudential Securities Inc. (Respondent) Case Number:Q2-Q4863 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Dennis M. Marin hereinafter referred to as "Claimant": Steven R. Malynn, Esq., Kohrman Jackson & Krantz PLL, Cleveland, Ohio and Steven L. Wassennan., Esq., Chernett Wasserman Yarger Pasternak LLC, Cleveland, Ohio. Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04858 Robert D. Walter & Karrie L. Walter JT TEN, claimants vs. Charles Schwab & Company, respondent. ATTORNEYS: Claimants appeared pro se, through Robert D. Walter, Redding, CA. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILED: August 19, 2002 CASE SUMMARY: Claimants alleged that respondent executed transactions on their account without cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yvonne A. Schwartz, Claimant v. Judith A. McGee, McGee Financial Group, Inc., McGee Financial Strategies, Inc., and Raymond James Financial Services, Inc., Respondents Case Number: 02-04855 Hearing Site: Portland, Oregon Nature of Dispute: Customer v. Associated Person, Non-Member and Member Firm REPRESENTATION OF PARTIES For Claimant: Ronald H. Hoevet, Esq. Per C. Ol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04846 Edwin B. Kornblue, D.D.S., P.A. Profit Sharing Plan and Trust, Effective 10/1/71, Edwin B. Komblue on behalf of his IRA Account and his Joint Account, Andrea B. Kornblue on behalf of her Joint Account, and Andrea B. Kornblue custodian for Paige Nicole Kornblue Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanl

Stipulated Award NASD In the M atter of the Arbitration Between: Name of Claimant Robert R. Williams Names of Respondents J.C. Bradford & Co. n/k/a UBS PaineWebber, Inc. David McKean Case Number: 00-03928 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Robert R. Williams ("Claimant"): Vincent F. Kilborn, III, Esq., Kilborn & Roebuck, Mobile, Alabama; and Michele C. O'Brien, Esq., Law Firm of David A. McDonald, Mobile,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 02-04844 Theodore Knee and Barbara Knee, individually And as co-trustees of the Knee Family Trust Name of Respondent Hearing Site: Boca Raton, Florida Advest, Inc. REPRESENTATION OF PARTIES For Theodore Knee ("TK") and Barbara Knee ("BK"), individually and as co-trustees of the Knee Family Trust ("KFT"), hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Express Financial Advisors, Inc., Claimant v. Steven G. Bacon, David M. Newbore and S. Kenneth Wilmot, Respondents Case Number: 02-04840 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Bruce L. Campbell, Esq. Carolyn Guy, Esq. Miller Nash LLP Portland, Oregon For Respondents: Ronald T. Adams, Esq. Michael B. Merchant, Esq. Kelly R.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 02-04833 Lombard Securities Incorporated, claimant vs. Diane Wyman, respondent. ATTORNEYS: For Claimant appeared Dana N. PescosoJido, Esq., Saul Ewing LLP, Baltimore, MD. -Eoi. Respondent appeared. Gregory L Bernard^.Esq., Thomas Noquey.Bniun .Splay & Bernard, LUP, Rapid City, SD. DATE FILED: August 16, 2002 CASE SUMMARY: Claimant alleged that respondent breached the Client Account Agreemen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Barry Harvey, William F. Harvey, Sr., Jackie Majors, Ann Majors, Cheryl Mobley, Jerry Mobley, Karen Rowe, Tim Rowe, Benjamin Mobley, Elizabeth Mobley, and Katie Rowe Names of the Respondents A.G. Edwards & Sons, Inc. Hance "Butch" McKenzie, Jr. Case Number: 02-04832 Hearing Site: New Orleans, Louisiana Nature-of th