Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pare Number 03-03412 Frances K. Irvin of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen N. Taft Nature of the Dispute: Customer vs. Member and Associated Person RF.PRFSFNTATTON OF PARTTPS Claimant, Francis K. Irvin ("Claimant"), was represented by James R. Hooper, Esq., Hooper & Weiss,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tire flnimant Pase Niimter 03-03410 Eleanor Tasher Names of the PggpnnHpnte Hearing Site; Washington, D.C. Legacy Financial Services, IDC. Joseph Karsner Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSRNTATTON OF PARTTF.S Claimant, Eleanor Tasher (''Claimant'*), was represented by William B. Young, Jr., Esq., Hooper & Weiss, L.L.C., Orlan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pauline Langlois Names of the Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. Susan Knollinger Rebecca Hardt Case Number: 03-03409 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Pauline Langlois, hereinafter referred to as "Claimant": James R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01305 Lincoln Investment Planning, Inc., claimant/counterclaim respondent vs. William M. Cameron, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Catherine M. Harper, Esq., of the firm Timoney, Knox, Hasson, & Weand, LLP, Fort Washington, PA. Respondent appeared pro se., New York, NY. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant/counterclaim respondent a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03408 Jim R. Hyde Sheila Hyde Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrence Brashears Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jim R. Hyde and Sheila Hyde, hereinafter collectively referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03407 Thomas Shirley Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner and Smith, Inc. Matthew Grossman Kerry Clapper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas Shirley, hereinafter referred to as "Claimant": William B. Young, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03402 Michael G. McDonald IRA Joan A. McDonald IRA Michael G. McDonald and Joan A. McDonald Ten/Com Names of the Respondents , Hearing Site: Atlanta, Georgia Charles Schwab & Co., Inc. Steven F. Manfredonia Gary D. Rubin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Micha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03399 David C. Brown Yukiko O. Brown Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber Stephen Martin Wayne Dictor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David C. Brown, and Yukiko O. Brown, hereinafter referred to as "Claimants": Michael B.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Guy K. Van Dahm and Sharon Van Dahm JTWROS Sharon Van Dahm IRA Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Scott Keiber Case Number: 03-03398 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Guy K. Van Da

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Shapiro, Claimant v. R.M. Stark & Co., Inc., Geoffrey A. Bigley, and Michael Townsend, Respondents Case Number: 03-03397 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Richard Hooper, Esq. Eduardo Rodriquez, Esq. Hooper & Weiss, LLC Orlando, Florida For