Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimant Case Number 03-02298 Henrietta B. Bennett Names nf the Respondents Hearing Site: Charlotte, North Carolina Wachovia Securities Financial Network, Inc. James Preston Covington, ffl Wachovia Securities, LLC Nature of the Dispute: Customer vs. Members and Associated Person. RF.PRFSF.KTATTON OF P AKTTF.S Claimant Henrietta B. Bennett, hereinafter referre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Phyllis J. Bise vs. 03-02294 Nashville, Tennessee Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Phyllis J. Bise ("Claimant") was represented by Travis R. McDonough, Esq. and Donald J. Aho, Esq., Miller & Martin LLP, Chattanooga, Tennessee. Merrill Lynch Pierce Fenner & Smith,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Corcon n Family Trust, Charlotte Kim Corcoran, and Edwin W. Corcoran, III, individually and as custo dian for Colette Corcoran, Edwin Corcoran, IV, and Monique N. Corcoran, Claimants A Respondent . Bear, Stearns & Co. Inc., Bear, Stearns Securities Corp., and Doron Kochavi, Case Number: 03-02292 Hearing Site: Los Angeles., California Nature of tile Dispute: Customers v.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC, (Claimant) vs. Meyer M. Shift-in, (Respondent) Case Number: 01-01210 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, LLC, hereinafter referred to as "Claimant": Michael R. Weissmann, Esq., Bingham Dana LLP, Boston, MA. Respondent, Meyer M. Shifrin, hereinafter referred to as "Respondent", did n

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Holter, Claimant v. Morgan Stanley DW Inc., Timothy Floyd Hyatt and William Benjamin Ford, Respondents Case Number: 03-02287 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons ' REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James Jay Seltzer Emeryville, California For R

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Byron Tefft and Rolene Tefft v. Names of Respondents Intersecurities, Inc., Ronald B. Wiser & Associates, LLC, and Ronald B. Wiser Case Number: 03-02285 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member Firms and Associated Person REPRESENTATION OF PARTIES Byron and Rolene Tefft ("Claimants") were repre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thft naimants f^g Nurnhfir- 03-02284 Azam and Lisa Anwar nf t|ip Rpcpnfi^ppt^ pparing Site- Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick NATTTIF OF Public Customer v. Member Firm and Associated Persons PAKTTFS Claimants Azam and Lisa Anwar, hereinafter referred to as "Claimants": Jakes Jordaan

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Name of Claimant: Walter K. Merryman ^ Case No.: 03-02283 Hearing Location: Houston, Texas v. ;f Name of Respondent: >; Merrill Lynch, Pierce, Fenner & Smith ,; Inc. ? NATURE OF THE CASE Customer v. Member Firm REPRESENTATION OF PARTIES Claimant, Walter K. Merryman, ("Claimant") was represented by Russell Silverglate, Esq., of Dickenson, Rex & Sloa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant '• Russell Benjamin Holloway, Sr. s By and Through His Attorney-in-Fact, Dan L. Holloway and 03-02280 Oklahoma City, Oklahoma Name of Respondent 1 t • Capital West Securities, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Russell Benjamin Holloway, Sr. By and Through His Attorney-in-Fact, Dan L. Holloway

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Robert Lesser (Respondent) Case Number: 03-02274 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": Dominick J. Dorata, Esq., Dominick J. Dorata, Attorney at Law, Scarsdale, NY. Respondent Robert Less