Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pamela H. Darling (Claimant) v. Christopher D. Bell, and du Pasquier & Co., Inc. (Respondents). Case Number: 02-04771 - Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pamela H. Darling ("Darling") hereinafter referred to as "Claimant": Eric M. Higgins, Esq., Wofsey, Rosen, Kweskin & Kuri

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04770 j Dias George, Claimant vs. Merrill Lynch Pierce Fenner and Smith, Inc., and Henry D'Onofrio, Respondents. ATTORNEYS: Claimant, Dias George ("Claimant") appeared pro se.,White Plains, NY. i Respondents, Merrill Lynch Pierce Fenner and Smith, Inc., and Henry D'Onofrio, (collectively "Respondents") appeared through their in-house counsel, Richard Kelly, Esq.i New York, NY. DATE FILED

AWARD >n» Inc. In the Matter of the Arbitration Between Name of Claimant Gary Growden and Name of Respondents PaineWebber Incorporated Edward Papic Wilder D. Games 00-03914 Minneapolis, Minnesota REPRESENTATION OF ARTIES Gary Growden ("Claimant") was represented by Delmer C PaineWebber Incorporated ("Respondent PaineWebber"" Davidson, Esq., Senior Vice President & Senior Associa Inc., Weehawken, New Jersey. Ed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Stanley H. Mindell Trust and Marc Mindell, Claimants v. Thomas F. White and Company, Inc. n/k/a Acument Securities, Inc. and Christopher W. Inglis, Respondents Case Number: 02-04764 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Paul J. Smoot, Esq. Merrill B. Emerick, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Arthur A. Jones, HI, Individually and as the Representative of Birmingham Radiology Group, P.C. Names of the Respondents A.G. Edwards & Sons, Inc. David H. Anthony Case Number: 02-04757 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur A. Jones,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annie Kleinschrnidt (Claimant) vs. Owen Watstein (Respondent) Case Number: 02-04749 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Annie Kleinschrnidt ("Kleinschmidt"), hereinafter referred to as "Claimant": appeared pro se. Respondent, Owen Watstein ("Watstein"), hereinafter referred to as "Respondent": Jennifer Sender Esq., Citicorp Investment Services, L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04747 John D. Steichen, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Spring Park, MN. For Respondent appeared in-house counsel, John Bersin, Esq., Rancho Cordova, CA. DATE FILED: August 12, 2002 CASE SUMMARY: Claimant alleged that respondent breached its fiduciary duty by failing to execute an order he placed. Claimant maintained that due to res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. Allphin, Claimant v. Kimberly Securities, Inc., Kimberly Jean Misaraca, and Noel J. Belmonte., Respondents Case Number: 02-04739 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimant: For Respondent Kimberly Securities, Inc.: For Respondent Kimberly Jean Misaraca: For Respondent Noel J. Belmonte: Mark W. Pugsley, Esq. Ray, Quinney &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nielsen Family Revocable Trust, Claimant v. Morgan Stanley DW Inc., Robert A. Johnson, Nancy L. Eklund, Thomas G. Taliaferro, Todd G. Beguelin, Howard J. Smith, and Brian M. Krueger, Respondents Case Number: 02-04738 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Randall Rollins P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Pasy. Tslmnter .02-04737. Patricia J. Pequignot IRA Patricia J. Pequignot & William A. Pequignot, JT Ten The Furniture Warehouse, Inc. Name nf tire Rfispnndpnts T-fcaring Stter Washington, DC Robert Ashley Early A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member and Associated Persoa Rff.PRFSKNTATION OF PARTIF.S Claimants, Patr