Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Orlando and Maria Quintero Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Patrick J. Dwyer Case Number: 02-07666 Hearing Site: Boca Raton, Florida. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Orlando and Maria Quintero, hereinafter collectively referred to as "Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert S. McLeod Name of the Respondent Fidelity Brokerage Services, Inc. Case Number: 02-07664 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert S. McLeod ("McLeod"), hereinafter referred to as "Claimant": Delmer C. Cowing, III, Esq., Delmer C. Gowing, P.A., Delray Beach, Florida a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07662 Prudential Securities, Incorporated Name of the Respondent Hearing Site: Boca Raton, Florida David P. Silva 1 , , REPRESENTATION OF PARTIES For Prudential Securities, Incorporated, hereinafter referred to as "Claimant": Richard L. Martens, Esq. and Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Martens McBane & O'Cornell, W

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald D. Weeks, Claimant, v. World Group Securities, Inc., World Financial Group, Inc., WMA Securities, Inc., World Marketing Alliance, Inc., S. Hubert Humphrey, Jr., Barry M. Clause, and Bryce D. Peterson, Respondents Case Number: 02-07659 Hearing Site: Salt Lake City, Utah Nature of Dispute: Associated Person v. Members, Associated Persons and Non-Members REPRESENTATION OF PA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott P. Kenney, as Trustee for the Robert P. Kenney Trust and the Dorothy E. Kenney Trust, and in his individual capacity, Claimant Vs. McDonald & Company Securities, Inc., and Michael R. Griffis, Respondents. Case Number: 00-04270 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Scott P. Kenney, as trustee for the Robert P. Kenney Trus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey B. Venezia (Claimant) v. The Equitable Life Assurance Society of the United States, AXA Advisors, LLC, AXA U.S.A., AXA Distributors, LLC, Krahnert Agency, and Campbell District (Respondents) Case Number: 02-07653 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Jeffrey B. Venezia ("V

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Belasky and Sharyn Belasky, and Michael Belasky IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gary K. Stern (Respondents) Case Number: 02-07652 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael Belasky and Sharyn Belasky ("Belaskys"), and Michael Belasky IRA

NASD DISPUTE RESOLUTION AwlllD NASD DISPUTE RESOLUTION CASE:02-07647 Dina Lombard!, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Dina Lombardi, ("Claimant"), appeared Adam S. Doner, Esq. of the Law Offices of Gordon & Doner, P.A., Palm Beach Gardens, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie M. Russo, Esq., of the Law Offices of Morg;an Lewis & Bockius LL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07637 Barbara J. Beckstrand, Claimant vs. John L. Jenkins, Respondent. ATTORNEYS: Claimant, Barbara J. Beckstrand, ("Claimant") appeared Pro Se., Del Mar, CA. Respondent, John L. Jenkins, ("Respondent") appeared Pro Se., San Diego, CA. DATE FILED: December 18, 2002. CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty by misrepresenting and omitting facts relating t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07635 Wells Fargo Bank, N.A., Claimant vs. Glen R. Richardson, Respondent. ATTORNEYS: " ~ ~ ' ~ ~ ~ ~ ~ ™ ~ " ~ For Claimant, Wells Fargo Bank, N.A. ("Claimant") appeared Ronald S. Kravitz, Esq. of Liner Yankelevitz Sunshine & Regenstreif, LLP San Francisco, CA. Respondent, Glen R. Richardson, ("Respondent") appeared pro. se., El Dorado Hills,