NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASH: 04-02135 Timothy $. Kuehenbecker IRA, Claimant v. Bill Gundcrscm and Torrey Fines Securities, Respondents ATTORNEYS: Claimant Timothy S. Kuehenbecker IRA ("Claimant") appeared pro $*/San .Diego, CA. Respondent Bill Guoderson appeared pro se, Escondido, CA. For Respondent Torrey Pines Securities appeared Jack S. Smith, Torrey Pines Securities, Inc., San Diego, CA. NATURE OF DISPUTE: Cust

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: NatCity Investments, Inc., vs. Sheila Lugibill Carmen Thomas Parilia Matthew Ristvey Conseco Securities, Inc. Claimant, Respondents. Case No. 00-05769 REPRESENTATION OF PARTIES Claimant, NatCity Investments, Inc. ("NatCity") was represented by Robert N. Rapp, Esq., of Caifee, Halter & Griswoid LLP, Cleveland, Ohio. Respondents Sheila Lugi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Walter I. Chapman, Jr. i "Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Eugene D. Foxworth, III Charles H. Maguire, III CasaJSmober: 04-02134 aring Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRFSFNTATION OF PARTTFS Claimant, Walter I. Chapman, Jr., he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02133 Mark Alexander, Claimant v. Knight Equity Markets, L.P., Respondent ATTORNEYS: Claimant Mark Alexander ("Claimant") appeared pro se, Mayfield Heights, OH. For Respondent Knight Equity Markets, L.P. ("Respondent") appeared Kenneth W. Gerver, Esq., Knight Equity Markets, L.P., Jersey City, NJ. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: March 29, 2004. CASE SUMMARY: Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosario Tropeano and Concetta Tropeano (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvey Bell (Respondents) Case Number: 04-02132 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Rosario Tropeano ("R. Tropeano") and Concetta Tropeano ("C. Tropeano") hereinafter coll

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 04-02127 Nazila Talebly Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nancy Goethel E. Thomas Holder, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nazila Talebly, hereinafter referred to as "Claimant": Wayne H. Schwartz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Betty Anne Buchanan on behalf of the Betty Anne Buchanan IRA and as trustee for The Enoch & Betty Buchanan Revocable Trust, Claimants v. Citigroup Global Markets, Inc., Respondent Case Number: 04-02123 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: William P. Torngren, Esq. Law Offices of William P. Torng

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Bums, trustee of Jack Burris IRA and Mary Burris, Claimants v. Charles Schwab & Co., Inc., Mark D. Babakan and Randall L. Klassen, Respondents Case Number: 04-02122 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, Cal

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ward and Sharon Bennett Names of the Respondents A.G. Edwards & Sons, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Wood Case Number: 04-02107 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ward and Sharon Bennett, hereinafter collectivel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Denise Praizler, Individually, and on behalf of the Denise Praizler IRA and Denise Praizler RRA Accounts v. 04-02103 Denver, Colorado Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Denise Praizler, Individually, and on behalf of the Denise Praizler IRA and Denise Praizler ERA Acco