r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renee Garrick (Claimant) v. Joseph Gunnar & Co., LLC., Donald M. Selkin, and Steven J. Mirlas a/k/a/ Steven J. Meyers (Respondents) Case Number: 02-06779 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Renee Garrick ("Garrick") hereinafter referred to as "Claimant": Howard R. Reiss, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Number: 02-06776 Oxford Financial Group, formerly known as Investors Trading Corp. SWS Securities, Inc. Hearing Site: Dallas, Texas NATTTRF OF THF Member Firm v. Member Firm OF Claimant Oxford Financial Group, formerly known as Investors Trading Corp., hereinafter referred to as "Claimant": Ben L. Krage, Esq. of the firm of Krage & Janvey, L.L.P., located in Dallas,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06774 Greg Scalia, Al Scalia, and Corrine Scalia Name of the Respondents Hearing Site: Chicago, Illinois Wunderlich Securities, Inc., Chicago Capital, Inc., CCI Holdings, Inc., Lazlo A. Nagy, Thomas C. Sanders, Sr., Lee A. Korhumel, and Stephen J. Kennedy NATURE OF THE DISPUTE Customers v. Member Firms, a Non-Member Firm,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin Morrow (Claimant) v. R.J. Steichen & Co. and Miles U. Braufinan (Respondents) Case Number: 02-06772 *" Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Marvin Morrow ("Morrow") hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Firm, New York, NY. Previously represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen Hohlfelder (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-06771 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Karen Hohlfelder ("Hohlfelder") hereinafter referred to as "Claimant": Douglas A. Kutsko, Esq., Brian P. Biggins & Associates Company, L.P.A., Rocky River, OH. Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara Benoit and Case Number: 02-06769 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc. Ricky R. Moore NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Barbara Benoit ("Claimant") was represented by Bertrand C. Moser, Esq., of the Law Offices of Bertrand C. Moser, of Houston

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Russell Johnson and Judy Johnson Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and John Wagner Case Number- 02-06768 Hearing Site- Richmond, Virginia Nature of the Dispute: Customers vs. Member and Associated Person. RRPRF.SF.NTATTON OF PARTTF.S Claimants, Russell Johnson and Judy Johnson, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Douglas R. Malsberger, IRA Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. William M. Beck Case Number: 02-06766 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas R. Malsberger, IRA, referred to as "Claimant": David M. Foster, Esq., David M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas William LaGanga, Executor of the Estate of EvaBuzzi Walker (Claimant) v. Fahnestock & Co., Inc. and Dino Carlo Casali (Respondents) Case Number: 02-06758 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas William LaGanga, Executor of the Estate of Eva Walker Buzzi ("LaGanga") hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dan Farash (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Richard Drayton, and Jack Grubman (Respondents) Case Number: 02-06757 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dan Farash ("Farash") hereinafter referred to as "Claimant": John T. McGuire, Esq., Jo