Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03071 Tom Lester Shelton Whittington Kathryn D. Whittington Donald T. Enwin, M.D. Mary Abell. M.D. Steven W. Stogner, M.D. Names of the Respondents Hearing Site: New Orieans, Louisiana Merrill Lynch Pierce, Fenner & Smith, Inc. Henry Blodget Justin Baldauf Kirsten Campbell Virginia Syer Genereux Sofia Gha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Bellina, (Claimant) vs. Metropolitan Life Insurance Company, (Respondent) Case Number: 00-00475 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Bellina, hereinafter referred to as "Claimant": Arnold S. Cohen, Esq., Balk, Oxfeld, Mandell & Cohen, P.A., Newark, NJ. Respondent, Metropolitan Life Insurance Company, hereinafter referred to as "Responden

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Farideh R. Bagne, Stephon B. Bagne, and Alexander A. Bagne Claimants, v. No: 95-01598 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Anne M. Copk-Kuhnle Respondents. REPRESENTATION OF PARTIES Claimants Farideh R. Bagne ("Dr. Bagne"), Stephon B. Bagne, and Alexander A. Bagne (collectively referred to as "Claimants") were represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *. Name of Claimants David L. Daley & Lakeside Title Agency 95-01593 Name of Respondents A.G. Edwards & Sons, Inc. Gary Pepple REPRESENTATION For claimants David L. Daley ("Daley") and Lakeside Title Agency ("Lakeside 11 ) appeared George L, McGaughey, Esq., of the law firm of McDonald, Hopkins, Buike & Haber Co., L.P.A. located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * _ In the Matter of the Arbitration Between Name of Claimant Robert D. Joyce TTEE for the Robert D. Joyce Trust 95-01583 ~Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1995 Claimant Robert D. Joyce TTE for the Robert D. Joyce Trust ("Claimant"), who appeared Pro Se, alleged that he

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Frank Marotta 95-01578 Name of Respondents) Meyers Pollock Robbins, Inc. James Byrne REPRESENTATION For Claimant, Frank Marotta ("Claimant"), appeared Joseph F. Keenan, Esq., of the law firm Bochat & Keenan located in Garden City, New York. For Respondents, Meyers Pollock Robbins, Inc. ("Meyers Pollack") and James Byrne ("Byrne") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Spero and Meryl Michos 95-01577 Name of Respondents PaineWebber, Inc. Lawrence Katz REPRESENTATION For Claimant Spero and Meryl Michos ("Claimants): Predric D. Firestone of the law firm of Hadley, House & Rabin, P.C. For Respondents PaineWebber, Inc. ("PaineWebber") and Lawrence Katz ("Katz 11 ): James K. Archi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry and Noreen Beaufrere, Claimants vs. Travis P. Lynch, Respondent. Case Number: 95-01576 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, Henry and Noreen Beaufrere, hereinafter referred to as "Claimants": Henry Beaufrere, Mercer Island, Washington Respondent, Travis P. Lynch, hereinafter referred to as "Respondent": Travis P. Lynch, Port St. Luci

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) O.D. Griffin 95-01575 Name of Respondents) Chatfield Dean & Company, Inc. v. C. Ron Patton, Jr. REPRESENTATION For Claimant: Ricky L. Bradley, Esq. and Charles Dalziel, Esq. of the law firm of SaveJl & Williams, Atlanta, Georgia. For Respondent Chatfield Dean & Company, Inc.: Christa D. Taylor, Esq., in house counsel.

N.A.SJD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl P. Summers 95-01573 Name of Respondents Daniel L. Caso Lehman Brothers, Inc. REPRESENTATION For claimant Carl P. Summers ("claimant) appeared Anthony J. Haitman, Esq. of the law firm of Hermann, Cahn & Schneider located in Cleveland, Ohio. For respondents Lehman Brothers, Inc. ("Lehman") and Daniel L. Caso ("Caso") app