Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06551 Douglas A. Swartz (Consolidated with 02-06778) Names of the Respondents Hearing Site: Tampa, Florida Robert W. Baird & Co. Incorporated Morris David Epstein Glenn M. Ullmann In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06778 Donna A. Swartz (Consolidated with 02-06551) The Guy A. Swartz Fa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Jack E. Shuler, D.D.S., P.A. Profit Sharing Plan, (Claimant) vs. American Express Financial Advisors, Inc. and Christopher E. Farris, (Respondents) Case Number: 00-04126 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, The Jack E. Shuler, D.D.S., P.A. Profit Sharing Plan, hereinafter referred to as "Claimant": W. Wright Danenbarger, Esq., Wiggin & No

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i 02-06549 Sam Betts; Charles Betts Legacy Trust; The Joshua Berts Legacy Trust; and, Betts Investment Company, LTD. Morgan Stanley DW Inc. and Mark Annon Johnson : Dallas, Texas NATUKF OF Tffip PTSP TT TF Public Customers v. Member Firm and Associated Person RFPFFSFNT ATTON OF P'APTTflft Claimants Sam Betts, Charles Betts Legacy Trust, The Joshua

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Ann Aselage and Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc Stephen M. Medina The Medina & Medina Group Case Number: 02-06547 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member, Associated Person and Non-Member :\ , REPRESENTATION OF PARTIES Carol Ann Aselage ("Claimant") was represented by Donald M. F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edmona Mashburn, Claimant v, Merrill Lynch, Pierce, Fenner & Smith Incorporated and David W. Ivarie, Respondents Case Number: 02-06542 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael P. Mears, Esq. Attorney at Law Bakersfield, California For Respondents: Eric

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06540 NFS/FMTC Rollover IRA FBO Bronius Satkunas and Bronius Satkunas, Claimants vs. Garnett L. Riddle, Jr. and Andrew Castellano, Suntrust Securities, Inc f/k/a Crestar Securities Corporation, Respondents. ATTORNEYS: For Claimant appeared K. L. Loveland, Esq. of the firm Investors Recovery Specialists, Inc., Savannah, GA. For Respondents appeared Henry L Willett, III, Esq., of the firm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06539 Anna Wenk, individually and Peter J. Wenk, attorney-in-fact for Anna Wenk under DPOAdtd 10/3/02 Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber Incorporated C. Schiller Martin REPRESENTATION OF PARTIES For Anna Wenk, individually and Peter J. Wenk, attorney-in-fact for Anna Wenk under DPOA dtd 10/3/02,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David Wemhoff Name of the Respondents Edward D. Jones & Co, An drew J. Arkfeld Case Number: 02-06536 Hearing Site: Omaha, Nebraska Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, David Wemhoff (Claimant) was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06535 Timothy J. LoBello, Claimant vs. Morgan Stanley DW, Inc., Matthew J. Schleichkorn, Connie Stevens and Filipe L. Camejo, Respondents. ATTORNEYS: Claimant appeared pro se. Aliso Viejo, CA. For Respondents appeared Keith Guilfoyle, in-house Counsel, New York, NY. DATE FILED: October 31, 2002 CASE SUMMARY: Claimant alleged that Respondents forged his signature and submitted it for

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: •3- Annette R. Cheron (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Victor Lambert (Respondent) Case Number: 02-06534 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Annette R. Cheron ("Cheron") hereinafter collectively referred to as "Claimant":