Award NASD Dispute Resolution In the Matter of the Arbitration Between: Candice Ting, as Attorney-in-Fact for Nai-Shih Ting, Claimant v. Royal Alliance Associates, Inc. and Robert L. Levine, Respondents Case Number: 03-02990 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, Califor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Matthew W. Hurlburt and 03-02987 Milwaukee, Wisconsin Names of Respondents Tom F. Schmid and Robert W. Baird & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Matthew W. Hurlburt, ("Claimant"), or, ("Hurlburt") was represented by David J. Lang of Brookfield, Wisconsin. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gregory Thompson and Kathy Hastings v. 03-02986 Minneapolis, Minnesota Respondents New England Securities Corporation and New England Financial Nature of Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES Gregory Thompson and Kathy Hastings ("Claimants") were represented by Harvey H. Eckart, Esq., of Eckart & Leonetti, P.A., Saint Paul

NASD Dispute Resolution Arbitration No. 03-02981 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill, Lynch, Pierce, Fenner & Smith (Claimant) v. Richard G. Hausler and Smith Barney, a Division of Citigroup Global Markets, Inc. (Respondents) Case Number: 03-02981 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith ("Claimant"): Paul G. Kirk, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rifli Mary Fuller, as Executrix of the Estate of Mary Belleville Hart Name nf thf* ftp.spnndp.nts Pinnacle Asset Management, Inc., John J. Katsock, Sr., and John J. Katsock, Jr. Case. Number- 01-01250 ing .Site.: Philadelphia, Pennsylvania RPPRRWNTATTON OF PARTIES Claimant Mary Fuller, as Executrix of the Estate of Mary Belleville Hart, hereinafter re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02976 David D. McNally, Claimant vs. The Williams Financial Group and Cross Financial Services Corporation, Respondents. ATTORNEYS: Claimant, David D. McNally, ("Claimant"), appeared pro se, San Antonio, TX. Respondent, The Williams Financial Group, ("Respondent"), appeared through its Chief Compliance Officer, Dagny W. Young, Dallas, TX. Respondent, Cross Financial Services Corporation,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02974 David Qualey, Laura Qualey, and David Trinkoff, Claimants vs. Thomas F. Ercolano, Respondent. ATTORNEYS: Claimants, David Qualey, Laura Qualey, and David Trinkoff, (collectively "Claimants"), appeared through their in-house counsel, Howard Sendrovitz, Esq., New York, NY. For Respondent, Thomas F. Ercolano, ("Respondent") appeared Ernest Edward Badway, Esq. of the Law Offices of Sai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David and Pamela Swanstrom, individually arid as respective trustees for their retirement accounts, and David Swanstrom, as custodian for their daughter Lane Swanstrom, (Claimants) v. Summit Equities, Peter O'Neill, and Kevin Rex (Respondents) Case Number: 03-02973 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Tiscornia (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Alan Jacobson, (Respondents) Case Number: 03-02972 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Fred Tiscornia ("Tiscornia") hereinafter referred to as "Claimant": Sheldon H. Gopstein, Esq., Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Howard (Claimant) v. Murphy & Durieu and Alexander Stem (Respondents) Case Number: 03-02970 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Scott A. Howard ("Howard") hereinafter referred to as "Claimant": Brian J. Butler, Esq., Bond, Schoeneck & King, PLLC, Syracuse, NY. Respondents Mur