AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas M. Anderson and 03-02071 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Nature of the Dispute; Customer vs. Member. REPRESENTATION OF PARTIES Thomas M. Anderson ("Claimant") appeared pro se. A.G. Edwards & Sons, Inc. ("Respondent") was represented by Michael Naccarato, Esq., A.G. Edwards & Sons, Inc., St, Louis, Missouri.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02063 Peter Frank Ricciardi, Jr., for his Roth IRA & Traditional IRA, Claimant v. Fidelity Brokerage Services LLC and Evan L. Salomon, Respondents. ATTORNEYS: For Claimants, Peter Frank Ricciardi, Jr., ("Claimant"), appeared John F. Hersch, Jr., Esq., Macedonia, OH. Respondents Fidelity Brokerage Services LLC and Evan L. Salomon ("Respondents"), appeared through their in-house counsel Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeremy Barnes v. Wachovia Securities, LLC, Alan J. Davidofsky and Theodore Geiler Case Number: 03-02062 Hearing Site: New York, NY Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeremy Barnes, hereinafter referred to as "Claimant": WilliamC.Rand, Esq., Law Offices of William Coudert Rand, New York, NY. Wachovia Securities, LLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02060 Frederick Goldman Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney Inc. John Banks Andrew Banks Nicole Rothenberg Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Frederick Goldman, hereinafter referred to as "Claimant", appeared pro se. For Salom

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02057 Ronald and Terri Parise, Claimants vs. Marat Fishman, Sheldon Andre Singh, John Anthony Bruno, Steven Michael Gerstel, and Michael John Wills, Respondents. ATTORNEYS: For Claimants, Ronald and Terri Parise, (collectively "Claimants"), appeared Adam M. Lippman of Brooklyn Law School, Brooklyn, NY, previously represented by Jaime Jackson. Respondent, Marat Fishman, appeared pro se, Bayon

Award NASD Dispute Resolution, Inc. In the Mattel] of ilie Arbitration Between: ! i Orthopedic &, Sports Associates of Long Island, P.C. Profit Sharing Plan, (Claimant) vs. Randall S. Appel, Appel Financial Planning, Ltd., and Strategic Assets, Inc., (Respondents) Case Number: -03581 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Orthopedic & Sports Associates of Long Island, P.C. Profit Sharing Plan, hereinafter referr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02055 Fahnestock & Co. Inc., Claimant vs. Thomas Wester, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: March 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refused to repay monies owed pursuant to the terms of a Promissory Note, and an amount owed

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02053 Fahnestock & Co. Inc., Claimant vs. Stacy McBee, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Atlanta, GA. DATE FILED: March 21, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed and refused to repay monies owed pursuant to the terms of a Promissory Note following the termination of his e

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick C. Mobouck (Claimant) v. Sands Brothers & Co., Ltd. and Richard Sands (Respondents) Case Number: 03-02052 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patrick C. Mobouck ("Mobouck") hereinafter referred to as "Claimant": Michael Kahnus, Esq., New York, NY. Respondent Sands

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Aronis; Linda Babin; Dan and Lois Blaga; Jeff and Tammie Butler; Robert and Beth Campbell; Jonathan Campbell; Kevin Cotter; Paul Dillon; John and Suzanne Ferrari; Larry Freeman; Jim Garibaldi; Ren and Gail Grendahl; James Huzella; Norbert Huzella; Ronald W. Frank; David C. James; Nancy Jones-Liss; Gary Klopfenstein; Dee Dee Le and Gary Troiani; Lilian Hua Li; Jonatha