Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Strange IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Daniel E. Donatelli (Respondents) Case Number: 04-02046 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Patrick Strange IRA ("Strange") hereinafter referred to as "Claimant": James S. Jones, Esq., Poland, OH. Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02042 Marjorie Lechene, Claimant vs. Allegheny Investments, Ltd., and Gary Bieniasz, Respondents. ATTORNEYS: ! Claimant, Marjorie Lechene, ("Claimant") appeared pro se, Johnstown, PA. Respondent, Allegheny Investments, Ltd., ("Allegheny"), appeared through its in-house counsel, Robin M. Miller, Esq., Pittsburgh, PA. Respondent, Gary Bieniasz, ("Bieniasz") appeared pro se, Edgewater, MD.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp ripimant ' • r^p Nnm h n" 04-0203'5 Ramon F. Martinez Name of Jhe Respondents Hearing Site: Dallas, Texas Edward D. Jones & Co. L.P. d/b/a Edward Jones; • • Citigroup Global Markets, Inc.; Alfonso Castillo Escamilla; EDJ Holdings Co., Inc.; and, ' Kathy Ann Bowling . . NAT1TRF OF Public Customer v. , Member Firms, Non-Member Firm and Associated Persons

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds Inc., (Claimant) vs. William F. Matthews, Jr., (Respondent) Case Number: 00-05764 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent, William F. Matthews, Jr., hereinafter referred to as "Respondent": Dona

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Fisher and Doris J. Fisher, Claimants Case Number- 04-02034 v. Merrill Lynch, Pierce, Fenner& Smith, Inc. and Hearing Site: St. Louis, Missouri Eugene B. Carter, Respondents NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Glenn R. Fisher and Doris J. Fisher (the "Fishers"), hereinafter collectively

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Smith Hayes Financial Services Corp. and 04-02033 Omaha, Nebraska Respondent Stephen J. Lococo Counter-Claimant Stephen J. Lococo and Counter-Respondent Smith Hayes Financial Services Corp. NATURE OF THE DISPUTE Member Firm vs. Associated Person, Associated Person vs. Member Firm Smith Hayes Financial Services Corp. (" Claimant" or "Smith

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]slame nf the Claimant Joseph Ficara Names nf the Respondents Morgan Stanley Dean Witter, Inc. Jamie L. Baraldi Case Nnmher 04-02029 Hearing Site; Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RPPRRSFNTATTOM OF PARTTFS Claimant, Joseph Ficara, hereinafter referred to as "Claimant/* was represented by Robert N,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Soterios S. Tsoflias (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kent D. Hageman, Karl A. Kniely, and Ronald J. Longoria (Respondents) Case Number: 04-02028 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Soterios S. Tsoflias hereinafter referred to as ("Claimant"): Lawrence J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02026 Joan Cutuly, Claimant v. Walter Harroll, Respondent ATTORNEYS: Claimant Joan Cutuly ("Claimant") appeared pro se, Netarts, OR. For Respondent Walter Harroll ("Respondent") appeared Jonathan Robbins, Esq., in-house counsel, Morgan Stanley DW, Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Associated Person. DATE FILED: March 25, 2004. CASE SUMMARY: Claimant alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02025 David C. Goetsch and Barbara L. Goetsch (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimants David C. Goetsch and Barbara L. Goetsch (collectively "Claimants") appeared Wm. Jemison Minis, Jr., Esq. and A. Renee Preston, Esq. of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lyn