Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^T 02-06214 Toni L. Woody, individually, and on behalf of the ToniL. Woody IRA Site* Dallas, Texas Morgan Stanley DW Inc.; Morgan Stanley & Co., Incorporated; Philip J. Purcell; Timmy D. Foster; and, Sara T. Stalcup NATTTRF Of THF mSPTTTF Customer vs. Member and Associated Person n PAPTTW.S Claimants Toni L. Woody ("Woody"), individually and on behalf of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Green and Allen Green, Co-Executors for the Estate of Beatrice Green and Case Number: 02-06212 Hearing Site: Southfield, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith and Anne Cook-Kuhnle NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Beatrice Green ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06211 Joseph L. DeNicola Ramona M. Denicola Name of the Respondent Hearing Site: Tampa, Florida First Union Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph L. Denicola ("JLD") and Ramona M. Denicola ("RMD"), collectively referred to herein as "Claimants": S. David Anton, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Clyde I. and Ethel L. Dawson Family Trust. Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 00-04090 Hearing Site: Los Aneeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: CASE INFORMATION Steven L. Miller, Esq. Law Offices of Steven L. Miller Woodland Hills, California Kenneth S. Gaincs, Esq. K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06204 John Varjabedian, Claimant vs. Ameritrade, Inc., Respondent. ATTORNEYS: Claimant, John Varjabedian, ("Claimant") appeared Pro Se., Las Vegas, NV. Respondent, Ameritrade, Inc., ("Respondent"), appeared through its in-house counsel, James J. Vihstadt, Esq., Bellevue, ME. DATE FILED: October 15, 2002 CASE SUMMARY: Claimant alleged that Respondent charged excessive fees for margin inte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Concord Equity Group (Claimant) v. M.B. Schreiber (Respondent) v. Ruthann Noosi, Esq. (Third-Party Respondent) Case Number: 02-06203 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person (Initial Claim). Member vs. Non-Member (Third-Party Claim). REPRESENTATION OF PARTIES Claimant The Concord Equity Group hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Im Young Ahn (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth K. Yoo (Respondents) Case Number: 02-06201 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Im Young Ahn ("Ahn") hereinafter referred to as "Claimant" - Pro se. Previously represented by: Peter S. Jeon, Esq., Law O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06200 Naomi I. Hoffman, claimant vs. David E. Ballard, Salomon Smith Barney, Inc., respondents. ATTORNEYS: For Claimant appeared Jack M. Cornelius, Esq., Sedona, AZ. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 16, 2002 CASE SUMMARY: Claimant alleged that respondents placed her in an investment program that was unsuitable to her investment

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06199 Robert F. Mensik, claimant vs. Robert W. Baird & Co., Inc., John M. Hohmann, and Paul Stenklyft, respondents. ATTORNEYS: Claimant appeared pro se, previously residing in Green Valley, AZ and currently residing in Anthem AZ. For Respondents appeared in-house counsel Moira K. Moran, Esq., Milwaukee, WI. DATE FILED: October 16, 2002 . CASE SUMMARY: Claimant alleged that respondent

HtvM-03 01:09pm FroHf ' , ' • * - - T-9B1 P.OOZ F-301 V/ 13/ZVUd id . a* "Award NASD Dispute Resolution In the Matter of the Aifctoatkra Between: rnnhfT* 07-06136 YvesdeRosBe MajiaTercsaFufci-deRnsee Hffnng Sftn: Waafaingtoa, DC ManD Lynch, Pkrce, Fcuncr & Sxrifli, ]nc- NatoaD- Marsden Nature of the Dilute: Customer \S- Member and Associated Person. Y\^deRosce ami Maria Teresa FoL^^ James J. Faugbnan, Esq^ Quagfeno A Seegcr, Wasinngt