Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Norman and Annabelle Norman, Claimants v. Morgan Stanley DW Inc. and David C. Mielke, Respondents Case Number: 03-04279 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Douglas Norman and Annabelle Norman In Pro Per Murrieta, California For Respondents: Tait Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luhuana A. Herrin, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 03-04277 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Randall R. Heiner, Esq. Law Offices of Randall R. Heiner Salt Lake City, Utah For Respondent: Milo Steven Marsden, Esq. Dorsey & Whitney LLP Salt Lake City,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kelly Eng and 03-04267 Dallas, Texas Little and Company Glenn A. Little . Tonya S. Johnson Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Kelly Eng ("Claimant") was represented by Jeffrey S. Lowenstein, Esq., ^ell Nunnally & Martin LLP, Dallas, Texas. Little and Company ("Respondent Little and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Beth M. Gtaub, individually and on behalf of the Beth M. Glaub IRA and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Wendell M. Roodman Case Number: 03-04263 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Beth M. Glaub, individually and on beha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant H. Werner Krause Rollover, IRA Names of the Respondents K.W. Brown Investments, Inc. Kenneth Brown Case Number: 03-04260 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For H. Werner Krause Rollover, IRA, hereinafter referred to as "Claimant": John T. Getz, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Belachew Telahun Trustee, Telahun Family Trust and Belachew Telahun, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Aria Ghajar, Larry P. Smith, Jr., Julie M. Ghajar, Gaylord W. Galiher, Michael E. Kleinsmith and Patricia G. Williams, Respondents Case Number: 03-04255 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael H. Jacobson IRA, Michael H. Jacobson, Lana B. Jacobson, Barry M. Jabobson, and Brian A. Fox, (Claimants) vs. Salomon Smith Barney Inc. and Timothy K. Fife, (Respondents) Case Number: 01-01446 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Michael H. Jacobson IRA ("Jacobson IRA"), Michael H. Jacobson ("M. Jacobson"), LanaB. Jacobson ("L. Jacobson"), Barry M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stanford Group Company Name of the Respondent Charles J. Hazlett Case Number: 03-04250 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stanford Group Company ("SGC"), hereinafter referred to as "Claimant": Ronald Shindler, Esq., Fowler White Burnett P. A., Miami, Florida. Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04245 Gary E. McCord, Individually Gary E. McCord, Trustee, DBS Profit Sharing Plan Names of the Respondents Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph M. Beckert Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Gary E. McCor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel E. Lorenzo (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Mark Andrew Quinn (Respondents) Case Number: 03-04243 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel E. Lorenzo hereinafter referred to as "Claimant": Richard Slavin, Esq., Cohen