NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02634 Judith Roop, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: For Claimant appeared Richard I. Lott, Esq., of the firm Levin Papantonio Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent appeared Melinda J. Lucas, Esq., of the firm Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02609 Lee Eddie Williams (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimant Lee Eddie Williams ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Andrea Morgan Greene, Esq., of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants James D. Mitchell, John W. Mitchell and James D. Mitchell, Joint Tenants with Rights of Survivorship, and the Special Needs Trust for John W. Mitchell, Jr. and Case Number: 01-00014 Hearing Site: Southfield, Michigan Names of Respondents Cantone Research, Inc. Sharpe Capital, Inc. and Robert E. Ainbinder NATURE OF DISPUTE Customers v.

CASE: 04-02605 Francis C. Mangan and Marie Mangan, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Francis C. Mangan and Marie Mangan (collectively "Claimants") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Melinda J. Lucas, Esq., of the firm May

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02598 Armona Jeffries and Shannon Evans, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Armona and Shannon Evans ("Claimants") appeared Wm. Jemison Minis, Jr., Esq. of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared J. Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02596 Shelly Hopkins-Rigg, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Shelly Hopkins-Rigg ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Bradley B. Rounsaville, Esq., of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02595 Reila S. Carpenter, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimant, Rella S. Carpenter ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman ("Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02592 Benjamin L. Brown and Sara M. Brown, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: " " For Claimants Benjamin L. Brown and Sara M. Brown (collectively "Claimants") appeared Kathleen P. Toolan, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P. A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02590 William Zumwalt, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant William Zumwalt ("Claimant") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan F. Enslen, Esq., of the firm Mayna

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02581 Anna C. Fisher Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Anna C. Fisher Trust ("Claimant") appeared Richard Lantinberg, Esq., of the firm Cooper Ridge & Lantinberg, Jacksonville, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Julie Wilson Portera, Esq., of the firm Maynard, Cooper & Gale, P