Award NASD Dispute Resolution In the Matter of the Arbitration Between: NamejoflheJClaimants Vicki Montgomery : 03-04002 Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and Andrew Melnick Hearing-Site: Dallas, Texas NATUBF. Public Customer v. Member Firm and Associated Pel-sons REPRESENJATIQNXte PARTIES Claimants Vicki Montgomery, hereinafter referred to as "Claimants": Jakes Jordaan, Esq., of the f

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert C. Zuilhof and Dawn D. Zuilhoff and 01-01435 Dallas, Texas Name of Respondents Jeffrey C, Bruteyn Ameri-First SecuritiesCorp., First Southwest Company REPRESENTATION OF PARTIES Robert C. Zuilhof and Dawn D. Zuilhof ("Claimants") were represented Tom Farrier, Esq. of Murphy, Mahon, Keffler & Farrier, L.L.P. located in Fort Worth, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf t>]P P.lfljfnfmt fflpft TsT^TyihftT 03-04001 Catherine Hall Hiring Sit*?' Dallas, Texas Southwest Securities, Inc. Flexvest Securities Group, Inc. TV ATT ra OF Public Customer v. Member Firms Claimant Catherine Hall, hereinafter referred to as "Claimant": James R. Marlen, Esq., of the Law Offices of James R. Marlen, located in Dallas, Texas. Respondent Sou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. and R. Darlene Anderson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Phil Scott, Respondents Case Number: 03-03991 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert L. and R. Darlene Anderson In Propria Persona Brookings, Oregon For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wallace Watkins Lane Trust, Claimant v. Rick G. Handy and Merrill Lynch, Pierce, Fenner & Smith Inc., Respondents Case Number: 03-03990 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Melvin Wong, Esq. Melvin Y.Q. Wong, Attorney at Law Honolulu, Hawaii For Respondents: Lawrence Brennan

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bernard Beauvais and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Kevin F. Shamblin Case Number: 03-03989 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Bernard Beauvais ("Claimant") was represented by Kathleen P. Toolan, Esq., Levin Papantonio, Thomas, Esc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03984 CGF Securities, LLC fk/a International Capital Growth, LLC (Claimant) v. James M. Palladino, Sr. (Respondent) ATTORNEYS: For Claimant CGF Securities, LLC tfk/a International Capital Growth, LLC ("Claimant") appeared Delmer C. Gowing, III, Esq., of the firm Delmer C. Gowing, HI, P. A., Delray Beach, FL. Respondent did not submit a Statement of Answer in this matter. NATURE OF DI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Giovingo Jr. and Camille D. Giovingo, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Gustavo A. Amaral and Pawel E. Szott, Respondents Case Number: 03-03982 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James Richard Hooper, Esq. Hooper & Weiss, LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03977 Lorna A. Wiley Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Rafal R. Baranski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lorna A. Wiley ("Wiley"), hereinafter referred to as "Claimant": James R. Hooper, Esq., Hooper & Weiss, LLC, Orlando, Florida. Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03976 Lynn C. Wright Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW S Inc. John C. Yates Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lynn C. Wright, hereinafter referred to as "Claimant": Michael B. Lynch, Esq., Hooper & Weiss, L.L.C., Or