Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kelly Ott Names of the Respondents Wachovia Securities, LLC and First Clearing Corp. Case Number: 03-05730 Hearing Site: Atlanta, Georgia Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Kelly Ott, hereinafter referred to as "Claimant", appeared pro se. For Wachovia Securities, LLC ("Wachovia") and First Clearing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John K. Wright and Carol A. Wright, Claimants v. Mark H. Workman and Morgan Stanley DW Inc., Respondents Case Number: 03-05723 Hearing Site: Portland, Oregon Nature of Dispute: Customers v. Associated Person and Member Firm REPRESENTATION OF PARTIES For Claimants: Jeffrey S. Salisbury, Esq. Law Office of Jeffrey S. Salisbury Eugene, Oregon For Respondents: Helene Jepson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lamon & Stem, Inc., John Q. Bahrenburg, Geoffrey A. Garbacz and James B. Robinson, Claimants v. Capstone Investments, Inc., Respondent Case Number: 03-05719 Hearing Site: San Diego, California Nature of the Dispute: Member and Associated Persons v. Member REPRESENTATION OF PARTIES For Claimants: Randall R. Rainer, Esq. Wollmuth Maher & Deutsch LLP New York, New York For

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Carol J. Reynolds, Estate of Charles Lee Reynolds, Jr., and Charles L. Reynolds, Jr., M.D. Profit Sharing Plan vs. 03-05718 Oklahoma City, Oklahoma Name of Respondent Citigroup Global Markets, Inc. f/n/a Salomon Smith Barney Inc. Nature of the Dispute: Customers vs. Member Firm REPRESENTATION OF PARTIES Carol J. Reynolds, Estate of Charles L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Javad Bonakchi and Bonakchi Import/Export, Inc. and Case Number: 03-05711 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Javad Bonakchi and Bonakchi Import/Export, Inc. ("Claimants") were represented by Alex Katzman, Esq., Katzman & Katzman, San Ant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05708 Elisabeth Ehrman, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Elisabeth Ehrman, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner and Smith, Inc., ("Respondent"), appeared A. Inge Selden HI, Esq., of the f

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Baecht, and The Estate of Bradley Baecht (Claimants) v. Linsco Private Ledger Corp. and Linda Louise Borst (Respondents) Case Number: 03-05707 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Barbara Baecht ("Baecht"), individually and as Executrix of the Estate of Bradley Bae

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05704 Harley J. Hanes, IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Harley J. Hanes, IRA, ("Claimant"), appeared Win. Jemison Minis, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, Proctor, PA. Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared R. Allen Kilgore, Jr., Esq., o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terrence L. McCrary, (Claimant) vs. The Camelot Group, Inc. and Robert R. Beuret, (Respondents) Case Number: 01-01606 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Terrence L. McCrary, hereinafter referred to as "Claimant", appeared pro se. Respondent, The Camelot Group, Inc. ("Camelot"): Robert R. Beuret, Vice Chairman, The Camelot Group, Inc., Fort

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05699 Richard C. Cardone Names of the Respondents Hearing Site: New York, New York Morgan Stanley DW Inc. James Brooks Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF THE PARTIES Richard C. Cardone ("Cardone"), hereinafter referred to as "Claimant": Marcia L. Adelson, Esq., Tarrytown, NY.