Award NASD Dispute Resolution In the Matter of the Arbitration Between: Betty J. Trask, Claimant v. John C. McCormick, Round Hill Securities, Inc., PIM Financial Service, Inc., and Royal Alliance Associates, Inc., Respondents Case Number: 03-03953 Hearing She: Portland, Oregon Nature of Dispute: Customer v. Associated Person and Members REPRESENTATION OF PARTIES For Claimant: For Respondents John C. McCormick and PIM Financial Services Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 03-03950 Jules B. and Elaine Jaspan Names nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott, LLC Russell R. Valante Nature of the Dispute: Customers vs. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimants, Jules B. and Elaine Jaspan, hereinafter collectively referred to as "Claimants", were represen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lillian Davan Names of the Respondents A.G. Edwards & Sons, Inc. Christopher Hamilton Case Number: 03-03946 Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lillian Davan, hereinafter referred to as "Claimant": Robert Landt, Esq. and George Franjola, Esq., Land

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants/ Counter^^pspon^pnits P^p Number' 01-01433 American DataSource, Inc., Morgan Keegan Trust Co., FSB as Trustee for American Funeral Plan -Texas Edward Jones Trust Co., as Trustee for American Funeral Trust - Ohio U.S. Bank, N.A. as Trustee for American Funeral Trust - Iowa Name of th^ ftpgpnnHfntg/ rmiptfHmrpmifrt Homing Si fe " Houston, Texas Philip

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael G. McCarthy, Individually and as Trustee of the Jean McCarthy Trust, Patricia McCarthy Trust, and Ann Elizabeth McCarthy Trust and Names of Respondents Morgan Stanley DW, Inc., Mark S. Elias, Gillian Munson, Mary G. Meeker and Alex Umansky Case Hearing Site: Number: 03-03941 Houston, Texas NATURE OF DISPUTE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Pasquale and Karen Marzullo Name of the Respondents Mark A. Michel and John E. Chapman Case Number: i-03940 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers v. Associated Persons REPRESENTATION OF PARTIES Claimants Pasquale and Karen Marzullo appeared pro se. Andrew May, Esq., of the firm Lewitas and May located in Chicago

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03939 Yatinder Singhal, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Yatinder Singhal, ("Claimant"), appeared Maurice S. Reisman, of Maurice S. Reisman, P.C., Farmington Hills, MI. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondents"), appeared their in-house counsel, Angela A. Turiano, Esq., New York, NY. NATURE OF DISP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Evelyn S. Belleman Name of the Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Robert J. Schmidt Case "Number: 0: -03936 Hearing Site: Phi adelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SFNTATTON OF PARTTF.S Claimant, Evelyn S. Belleman ("Claimant") was repr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy Mae McMillan and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Betty J. Cinq-Mars Case Number: 03-03935 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Dorothy Mae McMillan ("Claimant") appeared in pro per. Merrill Lynch Pierce Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moosa M. Lunat, Claimant v. Clover J. Hill, Weatherly Securities Corporation, Weatheriy International, PLC and Ehrenkrantz King Nussbaum, Inc., Respondents Case Number: 03-03933 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz