AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ChouxG. Wingert and Case Number: 03-02894 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith and Gerald G. Hoskins NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Choux G. Wingert ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Durango Masonic Temple Association, Inc. v. 03-02893 Denver, Colorado Respondents SunAmerica Securities, Inc., Robert Coffey and David Ehrig Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Durango Masonic Temple Association, Inc. ("Claimant") was represented by Adam P. Stapen, Esq., of Dill, Dill, Carr s Ston

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dana Hook and Names of Respondents Merrill Lynch Pierce Fenner& Smith and Baljinder S. Gill Case Number: 03-02892 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Dana Hook ("Claimant") was represented by Gary M. Saretsky, Esq., and Eric A. Michaels, Esq., Hertz, S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of Claimant Delia P. Andretti Case Number: 03-02887 Hearing Location: Houston, Texas vs. Names of Respondents Main Street Management Company and Mark McKenna Little NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Delia P. Andretti, ("Claimant") was represented by Herbert E. Pounds, Esq. of Herbert E.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant NFSC/FMIC IRA FBO Diane C. Bernier and Diane Bernier and Case Number: 03-02886 Hearing Site: Detroit, Michigan Respondents Linsco/Private Ledger Corp., Securities America, Inc., Osman Minkara, Derek A. Ross, Capital Investments Group, LLC, and Continental Capital Investment Services, Inc. a/k/a Skye Investments, Inc. NATURE OF DISPUTE Customer v.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant SIGURD E. ANDERSON and Name of the Respondents FIRST UNION SECURITIES, INC. and FIRST ALBANY CORPORATION and Name of Third-Party Respondent Jeffrey Cornell Case Number: 01-01232 Hearing Site: Kansas City, Missouri STATION OF PARTIES Claimant Sigurd E. Anderson ("Claimant") was represented by Thomas H. Walton, Esq. of the fi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lori A. Fahrner Case Number: 03-02885 Claimant Robert W. Baird & Co. and^ Hearing Site: Milwaukee, WI Robert S. Qmelina, Jr. Respondents TYPE OF CONTROVERSY Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant was represented by James E. Bartzen, Esq., of the Boardman Law Firm located in Madison, Wisconsin. Respondent Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Claimants Case Number: 03-02877 Zion and Cookie Avissar Zion Avissar IRA Cookie Avissar IRA Aimee Avissar Aimee Avissar IRA Cookie Avissar CF Bailey Avissar Cookia Avissar CF Garon Minton Danny Rabby Name nf the Respondent Hearing Site: Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. ! Michaela P. Huelbig W.Keith Mayo Natur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Behro, Kristen S. Walter, The Estate of Charles Behm, The Behm Family Trust, Claimants v. Morgan Stanley DW Inc., Bradley W. Poock, and Michael B. Yauch, Respondents Case Number: 03-02873 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas E. Francis, Esq. Bohm Fr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Wallace Tilley and J & J Family Partnership, Ltd. and Names of Respondents UBS Financial Services, Inc. and Mark Knodel Case Number: 03-02871 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Wallace Tilley and J & J Family Partnership, Ltd. ("Claimants") were represented