Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Morgan Securities of Texas, Inc. (f/k/a Chase Securities of Texas, Inc.), Chase Investment Services Corp., Wells Fargo Brokerage Services, LLC and Wells Fargo Investments and Cesar Roel Perez, Claimants, vs. Antonio Figueroa Rea, Maria Luz Segura Lopez, Jose Carmen Garcia Mancera, Maria Luisa Soto Nieto, Pedro Martinez Sanchez, Maria Rosario Veladez Chavez, Victor Ramirez L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rukmini Kanna, Venkanna Kanna and The Kanna Family Limited Partnership (Claimants) vs. McDonald Investments, and Jason Wireman (Respondents) vs. Hilliard Lyons (Third-Party Respondent) Case Number: 03-04393 Hearing Site: Columbus, Ohio Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Person. Third-Party Claim: Member and Associated Person vs. Member. REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Great Eastern Securities, Inc. (Claimant) v. America's Hedge Fund, John Daniel Minerva, Joseph Frank Pappalardo, Jr., and Ronald James Turner (Respondents) Case Number: 03-04391 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Great Eastern Securities, Inc. ("GES") hereinafter referred to as "Cla

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marion C. Bruzina and Names of Respondents Washington Square Securities, Inc., The Tilchen Corporation, and Alan S. Tilchen Case Number: 03-04375 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Marion C. Bruzina ("Claimant") was represented by Laurence

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Benito Abad, Sr., (Respondent) Case Number: 01-01461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant First Union Securities, Inc. ("Claimant"): Renan I. Sugarman, Esq., Senior Vice President and Assistant General Counsel for First Union Securities, Inc., Chicago, Illinois. Mr. Sugarman did not attend the hearing

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joyce A. Jackson vs. 03-04374 Louisville, Kentucky Respondents Raymond, James & Associates, Inc., Raymond James Financial Services, Inc., and John A. Casconi Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Joyce A. Jackson ("Claimant") was represented by Carolyn K. Ballesien, Esq., Tilford Dobbins Alexander

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04371 JohnS. Foley, IRA Robert J. Page, Jr., IRA Names of the Respondents Hearing Site: Orlando, Florida Investacorp, Inc. Raymond James & Associates, Inc. Paul Wood Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John S. Foley, IRA ("Foley") and Robert J. Page, IRA ("Page"), herei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04364 Basil Williams, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Basil Williams, ("Claimant"), appeared Wm. Jemison Minis, Jr., of Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie L. Wilson, of Maynard, Cooper & Gale, P.C., Bir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04359 American Express Financial Advisors, Inc., Claimant v. Judy N. Nolan, Respondent. ATTORNEYS: For Claimant, American Express Financial Advisors, Inc., ("Claimant") appeared Anthony Gericke, Minneapolis, MN. For Respondent, Judy N. Nolan, ("Respondent"), appeared Kathryn R. Downey, Esq., St. Paul, MN. NATURE OF DISPUTE: Member v. Customer DATE FILED: June 16, 2003 CASE SUMMAR

•f N.A.9I) DTSPUTF, KF.SOT.TITTOIV AWARTi NASD DISPUTE RESOLUTION CASE: "03-04358 MLPF& S CUST FPO Mark E. Wengiikowski IRA FBO Mark E. Wenglikowski, Claimant v. Men-ill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, MLPF& S CUST FPO Mark E. Wengiikowski IRA FBO Mark E. Wengiikowski, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL.