Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Stultz, Claimant v. WMA Securities, Inc., Respondent Case Number: 03-02939 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Carol Stultz In Pro Se Canoga Park, California Alan E. Greenberg, Esq. Lewis Brisbois Bisgaard & Smith LLP San Diego, California CASE INFORM

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jody Nelson v. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Laura McSparren 03-02931 Denver, Colorado Nature of Dispute: Customer v. Member and Associated Person i ', i REPRESENTATION OF PARTIES Jody Nelson ("Claimant f) was represented by Elizabeth Lowery, Esq., of Fields, Fehn & Sherwin, Los Angeles, California. Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Namp of fhp Patricia Sukonik r 03-02930 nf tT-ip Merrill Lynch, Pierce, Fenner & Smith Patrick J.Walsh Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Patricia Sukonik. hereinafter referred to as "Claimant", was represented by Michael J. Willner, Esq., Miller Faucher a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Letourneau (Claimant) v. Scottrade, Inc. (Respondent) Case Number: 03-02929 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Robert Letourneau ("Letourneau") hereinafter referred to as "Claimant": Joseph J. Dehner, Esq., Frost Brown Todd, LLC, Cincinnati, OH. Respondent, Scottrade, Inc. ("Scottrade") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bertram J. Latzer FBO Bertram J. Latzer (Claimant) v. CIBC Oppenheimer Corp. and Jeffrey Schneider (Respondents) Case Number: 03-02928 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Bertram J. Latzer FBO Bertram J. Latzer ("Latzer") hereinafter referred to as "Claimant" appeared pro se. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salomon Smith Barney Inc., (Claimant) vs. Prudential Securities Incorporated and Joseph G. Vitetta, (Respondents) Case Number: 01-01241 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Blythe E. Lovinger, Esq., Kasowitz, Benson, Torres & Friedman LLP, New York, NY. Respondents, Pruden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Harrington and Lauren Harrington (Claimants) v. Smith Barney, Inc. and Fausto P. Lima (Respondents) Case Number: 03-02927 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants George Harrington ("G. Harrington") and Lauren Harrington ("L. Harrington") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy C. Russell (Claimant) and Merrill Lynch, Pierce, Fenne'r & Smith, Inc., and Richard T. Kellar (Respondents) Case Number: 03-02925 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Nancy C. Russell hereinafter referred to as "Claimant": George W. Cochran, Esq., Cochran & Cochran, Att

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Serafin Icasiano, Corazon Icasiano and Serafin Icasiano IRA (Claimants) v. Merrill Lynch, Pierce Fenner & Smith Incorporated and Barbara Roberts, (Respondents). Case Number: 03-02924 Hearing Site: New York, New York. Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Serafin Icasiano ("S. Icasiano"), Corazon Icasiano ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Hanson and Krista Hanson (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-02921 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Glenn R. Hanson ("G. Hanson") and Krista Hanson ("K. Hanson") hereinafter collectively referred to as "Claimants": Kevin Kinne, Esq., Cai