Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Douglas Saulnier, (Claimant) vs. Kethe Cicconi and Mercer Partners Corporation, (Respondents) Case Number: 01-01588 Hearing Site: New York, New York Claimant Douglas Saulnier, hereinafter referred to as "Claimant": David Dretzin, Esq., Anderson, Kill & Click, P.C., New York, NY. Respondent Kethe Cicconi ("Cicconi"): Martin P. Unger, Esq., Blank Rome Tenzer Greenblatt LLP, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James L. McCaw and Sharon J. McCaw (Claimants) v. Edward Jones and Michael S. (Scott) Bumgardner (Respondents) Case Number: 03-05528 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James L. McCaw ("J. McCaw") and Sharon J. McCaw ("S. McCaw") hereinafter collectively referred to as "Claimants": Ste

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James B. Fellus (Claimant) v. A.B. Watley, Inc. (Respondent) Case Number: 03-05526 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Terminated Member. REPRESENTATION OF PARTIES Claimant James B. Fellus ("Fellus") hereinafter referred to as "Claimant": Jonathan S. Sack, Esq., Sack & Sack, New York, NY. Respondent A.B. Watley, Inc. ("Watley") hereinaft

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Broyer, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Renee D. Sopko, Respondents Case Number: 03-05522 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard J. Edson, Esq. Law Offices of Richard J. Edson Sacramento, California For Respondents: Stuart T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Eugene Lebovitz and Kate Lebovitz I, : Name of the Respondents Merrill Lynch Pierce Fenner & Smith and Christian E. Toman Case Number: 03-< fc520 Hearing Site: Chicago, Illinois Type of Controversy: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES p ' i • i , • _ i ' • Claimants Eugene Lebov

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James E. Latta and Charlotte Latta, individually, and on behalf of the Highland Ranch Center for Aesthetic and Maxillofacial Surgery P.C. Profit Sharing Plan and Trust, the Highland Ranch Center for Aesthetic and Maxillofacial Surgery P.C. Money Purchase Pension Plan Trust and their IRAs; Lucinda Koerner and Ronald Koerner, individually, and on behalf

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark D. Cornfield, Individually, as Beneficiary of his IRA, and as Custodian for Max Ryan Cornfield, Joshua Adam Kaplan, and Taylor Q. Cornfield, and Kelly A. Cornfield, Individually and as Beneficiary of her IRA and Case Number: 03-05514 Hearing Site: Southfield, Michigan Names of Respondents Citigroup Global Markets, Inc., and Kenneth Mittelbr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Children's Heart Center, P.C. and Case Number; 03-05513 Hearing Site: Troy, Michigan Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Children's Heart Center, P.C. ("Claimant") was represented by Webb A. Smith, Esq., and Peter R. Albertins, Esq., Foster, Swift, Collins & Smith, P.C., Lansi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant T-Lon Products, Inc. vs. Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. 5 Glen W. Ringwall, Mark J. Manion, and David M. Retkowski Case Number: 03-05512 Hearing Site: Milwaukee, Wisconsin NATURE OF CASE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES T-Lon Products, Inc. ("Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dhiraj Murthy, Individually and as Trustee and Beneficiary of the Dhiraj Murthy Revocable Trust Dated 04/05/00, Claimants v. Merrill Lynch, Pierce, Fenner and Smith Incorporated and Canard E. Barnes, Respondents Case Number: 03-05500 ' Hearing Site: Portland, Oregon Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant