NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00899 Anne M. Dye, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc. and Jason T. Lewer, Respondents. ATTORNEYS: For Claimant, Anne M. Dye, ("Claimant"), appeared Brian A. Carlis, Esq., of the firm, Stark & Stark, Lawrenceville, NJ. Respondents, Merrill Lynch Pierce Fenner & Smith Inc. and Jason T. Lewer, (collectively "Respondents"), appeared through their in-house counsel Daniel E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant CaseJNumhfiC 03-00897 Mark Pappas Name nf the ftesprmdent Hearing Site; Philadelphia, PA Acument Securities, Inc. David Appleyard Nature of the Dispute: Customer v. Non-Member and Associated Person. RKPRFSFNTATION OF PARTIES Claimant, Mark Pappas, hereinafter referred to as "Claimant", was represented by Anthony J. Horn, Esq., Attorney at Law, New Yo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Merola and Judith Merola (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Jack Grubman, and Paul Gallagher (Respondents) Case Number: 03-00895 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Joseph Merola ("Joseph Merola") and Judith Merola ("Ju

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary M. Madtes (Claimant) v. A.G. Edwards & Sons, Inc. and Vincent J. lammarino (Respondents) Case Number: 03-00891 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mary M. Madtes ("Madtes") hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Offices of W. Alexande

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Name of the Claimants O^elShirnher; 03-00890 Karol T. Zerr and Wayne V. Zerr, Name of the "Respondent Rearing Site: Houston, Texas Bryan T. Forman, Claimants Karol T. Zerr and Wayne V. Zerr, hereinafter collectively referred to as "Claimants," were represented by R. James George, Jr., Esq. and J. Scott Denko, Esq. of George & Donaldson, L.L.P. located in Austin,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Christ, Nicholas and Jolan D'Alessio, Herbert and Rose Lieberman, Marc Schwartz and Melvin Wallshein (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Steven N. Jaenichen, (Respondents). Case Number: 03-00887 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 00-04396 Richard L. Wampold Names of the Respondents Hearing Site: New Orleans, LA A.G. Edwards & Sons, Inc. Bryce Weldon Smith REPRESENTATION OF PARTIES For Richard L. Wampold, hereinafter referred to as "Claimant": Jack M. Dampf, Esq. of Dampf, Edwards, Thibaut, Melanson, Delatte & Marcantel, L.L.P., Baton Rouge, LA. For A.G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc. (Claimant) v. Giovanni Domino and Michael Taranto (Respondents) Case Number: 03-00886 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Cantone Research, Inc. ("Cantone") hereinafter referred to as "Claimant": Walter L. Baumgardner, Esq., Musilli, Brennan, Letvin & Pamell, PLLC, St. Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael F. Legg (Claimant) v. Jefferies & Company, Inc. (Respondent) Case Number: 03-00885 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael F. Legg ("Legg") hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., New York, NY. Respondent Jefferies & Company, Inc. ("Jefferies") hereinafter re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark E. Imbertson Name of the Respondent Frank Scalise Case Number: 03-00883 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Mark E. Imbertson ("Imbertson"), hereinafter collectively referred to as "Claimants"