Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rick Taylor, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Steve Blasi, and Brian Britt, Respondents Case Number: 04-02440 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John C. Wynne, Esq. Steven T. Coopersmith, Esq. Duckor, Spradling, Metzger & Wynne San Diego,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02435 Jonathan D. Torrens, Claimant v. Todd M. Radick and Tracey L. Radick, Respondents ATTORNEYS: For Claimant Jonathan D. Torrens ("Claimant") appeared Harold G. Ognelodh, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, NY. For Respondents Todd M. Radick and Tracey L. Radick (collectively "Respondents") appeared Thomas C. Wagner, Esq., of the firm Van Deusen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant DTI Financial, Inc. and Case Number: 04-02421 Hearing Site: Houston, Texas Names of Respondents AI M Distributors, Inc., and AI M Management Group, Inc. NATURE OF DISPUTE Terminated Member v. Member and Non-Member REPRESENTATION OF PARTIES DTI Financial, Inc. ("Claimant") was represented by Ali S. Ahmed, Esq., Ali S. Ahmed, P.C. Houston, Texas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants S. Peter Lebowitz Theresa Lebowitz Name of the Respondent Asset Management Securities Corp. Case Number: 04-02415 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For S. Peter Lebowitz and Theresa Lebowitz, hereinafter collectively referred to as "Claimants": Jeffrey B. Kapla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark and Bertha Kapetanakis (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., Rittenhouse Financial Services, Inc., and Douglas Lee Chin (Respondents) Case Number: 04-02411 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person, Member REPRESENTATION OF PARTIES Claimants Mark Kapetanakis ("M. Kapetanakis") and Bertha Kapetanakis ("B. Kapetana

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASK- 01-00005 Beuy P. Damsker, claimant vs. A.G. Edwards & Sons, Inc., respondent. ATTORNEYS: For Claimant appeared Norman A. Rotenberg, St. Petersburg, FL. For Respondent appeared Michael Naccarato, in house counsel, St. Louis, MO. DATE FILED: January 2, 2001 CASE SUMMARY: Claimant alleged respondent failed to execute trades in accordance with her wishes. Claim Data Award Data Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02405 Kathryn B. Hause, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Kathryn B. Hause, ("Claimant"), appeared Wm. Jemison Mims, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, Procter, P.A., Pensacola, FL. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Kathryn R. Eldridge, Esq., of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. and 04-02397 Phoenix, Arizona Name of Respondent Mason Bradshaw Zerbe, TV Nature of the Dispute: Member vs. Associated Person. REPRESENTATTON OF PARTIES Bane of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02395 Ronald A. Mote Name of the Respondents Hearing Site: Indianapolis, Indiana Edward D. Jones & Co. and Michael Jon Enqelstad MATIIRF OF p|5}PIJTF Customer vs. Member Firm and Associated Person F Richard M. Blaiklock, Esq. of the law firm Lewis Wagner, located in Indianapolis, Indiana represented Claimant Ronald A. Mote ("Mote"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Melanie Grissett, Individually and as Trustee of the Joel M. Mansfield Trust v. 04-02385 Denver, Colorado Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Melanie Grissett, Individually and as Trustee of the Joel M. Mansfield Trust ("Claimants"), were represent