Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00012 Donald E. Keifer Sandra K. Keifer Names of the Respondents Hearing Site: Little Rock, Arkansas Cooper Malone McClain, Inc. Larry Ade Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald E. Keifer and Sandra K. Keifer, hereinafter collectively referred to as "Claimants": Joh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Name of the Claimant Case Number: 03-00011 Josefa Higa IRA Josefa Higa Beneficiary of E. Higa Enrique and Josefa Higa Trust Daniel Higa and Josefa Higa Name of the Respondent;; Hearing Site: St. Louis, Missouri Merrill Lynch Pierce Fenner & Smith and Richard Arnold f Customer vs. Member Firm and Associated Person O Daniel S. Peters, Esq. of the law firm Her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MARGARET DESUTTER, individually, ) and ) MARGARET DESUTTER, Trustee U/A ) Dated March 27, 1989 By Guida E. Desutter) ) Claimants, ) ) and ) No. 03-00008 ) MERRILL LYNCH, PffiRCE, FENNER ) & SMITH, INC., ) ) and ) ) PHILIP WAYNE TAXMAN, ) ) Respondents. ) STIPULATED AWARD Nature of the Dispute: Customer vs. Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Kelly O'Connor (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-00001 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Mary Kelly O'Connor ("O'Connor") hereinafter referred to as "Claimant": Robert A. Klingler, Esq., Robert A. Klingler Co., L.P.A., Cincinnati, OH.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John McDowell and Names of Respondents Merrill Lynch Pierce Fenner & Smith and Lee Russell Case Number: 02-07887 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES John McDowell ("Claimant") was represented by Joel H. Kaufman, Esq., Law Offices of Joel H. Kaufman, Fa

OCOPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Ralph and Lois Bolnick Trust, Lois Bolnick, and Bolnick Investments LLC, Claimants v. Morgan Stanley DW Inc. and Adam A. Anderson, Respondents Case Number: 02-07885 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Ken Miller, Esq. Gormann & Miller Santa Monica, Califo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants G. Dewitt Boice, Individually and on behalf of the G. Dewitt Boice Trust and Lorraine R. Boice v. 02-07882 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael B. Weinberg and Edward L. Winpenny, Jr. Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES G. Dewitt Boice, Individua

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Michael and Hilda Lathrop and Names of the Respondents Prudential Equity Group, LLC, Raymond F. Westcgrove and Harmon S. Dickson, Jr. Names of Claimants Michael and Hilda Lathrop and Names of Respondents Citigroup Global Markets, Inc., Raymond F. Westegrove and Tullis C. Thomas, Case Number: 02-07880 Hearing Locati

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/ Counterclaim Respondent RBC Dain Rauscher, Inc. and 02-07879 Chicago, Illinois Name of Respondents/ Counterclaim Claimants Riccardo Nunziati and R.fl Corporation Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc., ("Claimant/Counterclaim Respondent") or ("Dain Rauscher") was represented by John Laravuso, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04289 Nena Morse, Claimant vs. Prudential Securities, Inc., Respondent. ATTORNEYS: Claimant, Nena Morse, ("Claimant"), appeared Pro Se., Las Vegas NV. Respondents, Prudential Securities, Inc. ("Respondent") appeared through its in-house-counsel, Marci B. Gold, Esq. New York, NY. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent fraudulently collected div