Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftv 02-07724 Jerry F. Kennedy and Betty A. Kennedy 'Kfflfi^e nf ihfi Rp.gpnn(fon|g H^ri^g Sit?' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj Public Customers v. Member Firm and Associated Persons OF PAPFS Claimants Jerry F. Kennedy and Betty A. Kennedy, hereinafter collectively referred to as "Claimants": Jakes Jord

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bruce Barron v. 02-07723 Denver, Colorado Respondent Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Bruce Barron ("Claimant") was represented by Stephen C. Peters, Esq., and Terrence J. Flemming, Esq., of Lindquist & Vennum, P.L.L.P., Denver, Colorado. Prudential Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant """ Gary M. Hock Name Franklin Street Partners, Inc. Franklin Street Advisors, Inc. Richard Blankenship ase Number: 02-07717 Hearing Site: Charlotte, North Carolina (Hearing held in Durham, North Carolina) Nature of the Dispute: Customer vs. Non-Member and Associated Person. RF.PRRSF.NTATTON OF PARTIES Claimant Gary M. Hock, hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bane One Securities Corporation Name of the Respondent James W. Langston, Jr. Case Number: 02-07710 Hearing Site: New Orleans, LA Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Bane One Securities Corporation ("BOSC"), hereinafter referred to as "Claimant": Matthew J. Morelli, Esq., Ulmer & Berne LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Lukach (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and John Mozonski Case Number: 02-07700 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jason Lukach ("Lukach") hereinafter referred to as "Claimant": Howard M. Rosenfieid, Esq., Farmington,

CASE: 02-07695 Ronald D. Todd, Claimant vs. Harrison Securities,Inc., Sherman Felix, and James Pecoraro, Respondents. ATTORNEYS: Claimant, Ronald D. Todd, ("Claimant"), appeared pro se, Cloudcroft, NM. For Respondents, Harrison Securities, Inc., Sherman Felix, and James Pecoraro (collectively "Respondents"), appeared Michael Utilla, Esq., of the Law Office of Utilla & Associates, Brooklyn, NY. DATE FILED: December 20, 2002 CASE SUMMARY: Claimant all

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martha Gwenn Romano and Frank Romano (Claimants) v. Morgan Stanley DW, Inc., Morgan Stanley & Co., Inc., Robert E. Berg, and Scott Rudnick (Respondents) Case Number: 02-07693 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Martha Gwenn Romano ("M. Romano"), Frank Romano IRA ("F. Roma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07691 Marsha Hockenbeny IRA FBO Marsha Hockenberry, Claimant v. Merrill Lynch Pierce Fenner & Smith* Inc., Respondent. ATTORNEYS: " For Claimant, Marsha Hockenbeny IRA FBO Marsha Hockeabeny, {"Claimant"), appeared Marc S. Koplilc, Esq., of Marc S, Koplik & Associates, New York, NY. For Respondent, Merrill Lynch Pierce Feoner & Smith, Inc., ("Respondent")* appeared its in- house counsel Y

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Michael G. Smith and Case Number: 02-07690 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc. Paul Ralph Scanlin NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Michael G. Smith ("Claimant") was represented by David E. Dunham, Esq., of Taylor & Dunham, LLP, of Austin, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pn 02-07689 Edith Anderson of the Pffcprmriftnts Hiring Si'fft: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj . OF Public Customer v. Member Firm and Associated Persons OT? Claimant Edith Anderson, hereinafter collectively referred to as "Claimant": Jakes Jordaan, Esq. and Patricia Riley, Esq. of Jordaan & Riley,