Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Henry Mandro Name of the Respondents Merrill Lynch Pierce Fenner & Smith Inc. Keith Myers Carol Heil Case Number: 02-06452 Hearing Site: Louisville, Kentucky Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Henry Mandro, (Claimant) was represented by Barry D. Hunter, Esq., Frost Brown To

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles T. and Laura L. Von Der Ahe, The C. Von Der Ahe Separate Property Trust, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Carey A. Franks, Respondents Case Number: 02-06447 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Samuel Reese, Esq. Barry R. Laubscher, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pase "Mumherr 02-06445 Daryle B. Hall, Sr. Names nf the Respondents Hearing Site: Pittsburgh, PA Charles E. Headley and CUNA Brokerage Services, Inc. Nature of the Dispute: Customer vs. Associated Person and Member RFPRFSENTATTON OF PARTTKS Claimant, Daryle B. Hall, Sr., hereinafter referred to as "Claimant", was represented at the hearing by Arnold

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number- 02-06444 Richard and Elizabeth Meade Sharon Anne Meade, Richard Meade, Custodian Virginia Anne Meade, Richard Meade, Custodian Kristen Lee Meade, Richard Meade, Custodian and Jennifer Mae Meade, Richard Meade, Custodian nf the Respondents Hearing Site: Philadelphia, PA Dennis Arthur Cooke, Sr. Wachovia Securities, Inc d/b/a First U

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06431 Linda K. Larkin Kate E. Larkin Christina M. Larkin Joseph P. Larkin Names of the Respondents Hearing Site: New Orleans, LA A.G. Edwards & Sons, Inc. Patrick X. Garvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda K. Larkin, Kate E. Larkin, Christina M. Larkin, and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04115 Michael Luther, claimant vs. Datek Online Brokerage Services, LLC, Jarrath Shaw, Jose Delvalle, and John Reavey, respondents. ATTORNEYS: Claimant Michael Luther ("Claimant")appeared Pro Se, Columbia, MD. Respondents Datek Online Brokerage Services, LLC, Jarrath Shaw, Jose Delvalle, and John Reavey ("Respondents") appeared G. Thomas Fleming, III, Esq., of Jones, Bell, Abbott,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants ' Margaret Jobe and Max Jobe ' 1 i and • , Case Number: 02-06429 1 Hearing Site: Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Daniel Lepore and Krista Girrbach » NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Margaret Jobe and Max Jobe ("Claimants") were represented by Joseph H. S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kelli Jones, Claimant v. Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.) and Grant Lee, Respondents Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.), Third-Party Claimant v. Vincent K. Jones, Third-Party Respondent Case Number: 02-06428 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Pe

Stipulated Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: George A. Eddy, TTEE, Kathryn C. Eddy, TTEE, U/A DTD 1/14/99, George A. Eddy, IRA and Kathryn C. Eddy, IRA Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., James J. Hartigan, Josefina Glock and Neil J. Surgenor, Respondents Case Number: 02-06427 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06421 Stephen Balestra Jr., Claimant vs. Delta Asset Management Company LLC, Respondent. ATTORNEYS: Claimant, Stephen Balestra Jr. ("Claimant") appeared Pro Se., Reno, NV. Respondent, Delta Asset Management Company LLC, ("Respondent") appeared through its in- house counsel, Anthony Donnadio, Mineola, NY. DATE FILED: October 25, 2002 CASE SUMMARY: Claimant alleged that Respondent failed t