Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the riai'mants Case Number 02-04671 Kelly Ann M. Royston Daniel McGinniss as Trustee of the Kelly A. Royston Trust Kelly Ann M Royston IRA Name nf thfi Rpxpnnrfentg Rearing Site- Washington, DC Robert W. Baird & Co. Christopher G. Didier Matt Montalbano Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard L. Ruffner and 02-04666 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Richard L. Ruffner ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. A.G. Edwards & Sons, In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Lindsay (Claimant) v. Fahnestock & Co., Inc., Josephthal & Co., Inc., and Kevin P. Saia (Respondents) Case Number: 02-04653 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Claimant William Lindsay ("Lindsay") referred to as "Claimant": Nicholas J. Guiliano, Esq., Philadelphia, PA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04650 Murry M. Shapero, claimant vs. New York Urban Professionals Basketball League, Inc., New York Urban Professionals Basketball League Profit-Sharing Plan, and John Bykowsky, Individually and as President of New York Urban Professional Basketball League, Inc., and as Trustee of New York Urban Professional Basketball League Profit-Sharing Plan, respondents. ATTORNEYS: For Claimant appeared

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wallace L. Parr Case No. 00-03880 Hearing Site: Boca Raton, Florida Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Wallace L. Parr ("Parr") hereinafter referred to as "Claimant": Tim B. Wright, Esq., Warner, Fox, Wackeen, Dungey, Seeley, Sweet, Wright and Beard, L.L.P., Stuart, Florida. For A.G. Edwards & Sons, Inc. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Scott Alan Rubin Names of the Respondents Prime Charter Limited, Inc., Fahnestock, Inc., Luis Alexander Sanchez, Steven Schwartz and John Does Case Number: 02-04640 Hearing Site: Boca Raton v Flottda REPRESENTATION OF PARTIES For Scott Alan Rubin, hereinafter referred to as "Claimant": Gerald Rubin, Esq., Law Offices of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carl Sisneros and Case Number: 02-04636 Hearing Site: Houston, Texas Names of Respondents Quick & Reilly, Inc. and Jerry L. Dye NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Carl Sisneros ("Claimant") was represented by Michael L. Davis, Esq., Law Office of Michael L. Davis, Houston, Texas. Quick

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 02-04633 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Merrill Lynch & Co., Inc. Robert W. Bidwell Randolph S. Moore Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant was initially represented by George C. Aucoin, Jr., of the law firm of Johnson and Auc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf f n e r]airrj,flrit Pa^p Nnmhpr- 02-04630 Jacobson Family Trust n f th p Ff^p o n dents H^flrirg Sjtfv Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Steven M.Cohen OF PARTI Claimant, Jacobson Family Trust, was represented by Leslie D. Jacobson, Esq., Attorney at Law, Harrisburg, PA. Respondents, Merrill Lynch, Pierce, Fenner & S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Ridolfi and Patrick M. Ridolfi as Trustees of The Scott Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 02-04629 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: / C/ David B. Nemer, Jr., Esq. San Francisco, California For Respondent: s^***"* Cara L. Meredith Keesal, Young & Logan San Franci