Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert G. Kaiser, Claimant v. Bane of America Investment Services, Inc., Julie G. Castle, Lisa K. Dry, David M. Winchell, Angela J. Tomassetti, Carisa Y. Arakaki, Susan J. Hechtlinger, Richard V. Downen, Karen Bahr, and David T. Mitchell, Respondents Case Number: 02-07426 Hearing Site: Las Vegas, Nevada Nature of Dispute: Associated Person v. Member Firm, Associated Persons and Non-Memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07422 Bane of America Investment Services, Inc., Claimant v. Peter J. Chaitkin, Respondent. ATTORNEYS: For Claimant, Bane of America Investment Services, Inc., ("Claimant"), appeared Diane C. Fischer, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent, Peter J. Chaitkin, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Associated Person DATE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Esther Savitz Revocable Trust dtd 9/3/92 Jack Savitz Revocable Trust dtd 9/3/92 Names of the Respondents Morgan Stanley DW, Inc. John S. McNally, Jr. Martha Prestin Third Party Respondent Edward H. Savitz Case Number: 02-07416 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Member and Associated Persons vs

Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Nelson and Rose Ann Vargas Case Number: 02-07415 Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Robert Katzman Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Nelson and Rose Ann Vargas ("Vargas"), hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration: Michael Glen Hill, Claimant Case No. 02-07413 Lori Ann Clem, Respondent. Hearing Site: Dallas, Texas Nature of the Dispute: Associated Person v. Associated Person REPRESENTATION OF PARTIES Claimant: Michael Glen Hill, hereinafter referred to as Claimant. Attorney - None. Claimant was Pro Se. Respondent: Lori Ann Clem, hereinafter referred to as Respondent. Attorney - Randall

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-7411 Joseph L. Katz, as Power of Attorney for Esther D. Katz; Name of the Respondents Hearing Site: Washington, DC Merrill Lynch, Pierce, Fenner and Smith, Inc. Merrill Lynch Trust Company, FSB Mark Siegel Dianne Mehlinger J.L. Knight/ Warren Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew J. Tine and Haese, LLC, (Claimants) vs. Morgan Stanley Dean Witter Online Inc., (Respondents) Case Number: 00-04219 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Andrew J. Tine ("Tine") and Haese, LLC ("Haese"), hereinafter collectively referred to as "Claimants": Rick Holland, Esq., Haese, LLC, Boston, MA. Respondent, Morgan Stanley Dean Witter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fase Number: 02-07407 W. Harwood Runner and Susan Runner; and, KANDE Partners, L.P. F p sp nr>Hpnts Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Feraier & Smith, Inc.; David H. Komansky; and, Deepak D. Raj PIT Claimants W. Harwood Runner and Susan Runner, and KANDE Partners, L.P., hereinafter collectively referred to as "Claimants": Jakes Jordaa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Tiger 12 Investment Club, the Elizabeth W. Martin Trust, and Sammie J. and Maxine Rhoades Name of the Respondents U.S. Bancorp Piper Jaffray, Inc., Kurt Johnson, and Frederick A. Magerkurth Case Number: 02-07406 Hearing Site: Kansas City, Missouri Type of Controversy: Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-07405 Joseph F. Hoedel Name nf the Respondents Hearing Site: St. Louis, Missouri Merrill, Lynch, Pierce, Fenner & Smith NTATTTRF O^ TUSPTTTF. Customer vs. Member Firm OF PAPT1T?.R Steven W. Koslovsky, Esq. of the Law Offices of Steven Koslovsky, LLP located in Maryland Heights, Missouri represented the Claimant, Joseph F. Hoedel, here