CASE; 02-05513 Julia A. and Vincent J. Vclci, claimants v*. T. Rowe Price Investment Services, Inc., respondent. ATTORNEYS: Claimants appeared pro se, La Miranda, CA. For Respondent appeared in-house counsel, John R. Oilner. Esq.. Baltimore, MIX DATE FILED: September 17, 2002 CASE SUMMARY: Claimants alleged that respondent failed to supervise, advise and otherwise prudently guide them toward a more conservative and safe trading activity and format Claimants

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Aronson (Claimant) v. Paul A. Peterson and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondents) Case Number: 02-05512 Hearing Site: Rochester, NY Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert J. Aronson ("Claimant"): Kevin Conway and Fred Van Remortel of Conway & Conway, 1700 Broadway,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joanne McHugh, IRA (Claimant) v. Matthew G. Kovalcik and Raymond James Financial Services, Inc. (Respondents) Case Number: 02-05510 Hearing Site: Columbus, OH Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Joanne McHugh ("McHugh") hereinafter referred to as "Claimant": David P. Meyer, Esq., David P. Meyer Co., L.P.A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott C. Seibel and Sharon R. Seibel, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. dba Merrill Lynch Direct, Respondent Case Number: 02-05509 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimants: Mitchell S. Ostwald, Esq. Sacramento, California For Respondent: Paul J. Lambert, Esq. Gerard P

NASD DISPUTE RfcouLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05508 Norma B. Kobernus, Claimant vs. Salomon Smith Barney, Inc. and Karen Kehr, Respondents. ATTORNEYS: Claimant, Norma B. Kobernus, appeared pro se. Castro Valley, CA. Respondents, Salomon Smith Barney, Inc. and Karen Kehr, appeared through their in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: September 16, 2002 CASE SUMMARY: Claimant alleged that respondents placed her i

•01'add 3WI1 INIfeld Wd££:2 '0T"ddb 3WI1 NASD Dispute Resolution, Inc. Arbitration No. 00-04015 Award Page 1 of 5 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. Soheil Hekmat v. TD Waternouse Investor Services, Inc. and Robert Koch Case Number 00-04015 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Dr. Soheil Hekmat In Pro Per Los Angeles, California For Respondents: J

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants i Sol and Fannie Wainer, by their Attorney-in-Fact, David Wainer and Names of. Respondents Comerica Securities, Inc. and Victor Whang ' ; Case Number: 02-05494 Hearing Site: Southfield, Michigan ' ; . • t ' NATURE OF CASE Customers v. Member Firm and Associated Person i REPRESENTATION OF PARTIES Sol and Fannie Wainer ("Cl

Stipulated Award NASD Dispute Resolution in the Matter of Arbitration Between: J.W. & Bernadine Champion, Claimants, vs. David Doughty and Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondents. Case No. 02-05493 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants J.W. and Bernadine Champion , hereinafter referred to as "Claimants," were represented by Andrew L. Jones, Esq., 8144 Walnut Hill Lane, Suite 650, Dalla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adrian Piperi, Sr. and Name of Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 02-05492 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Adrian Piperi, Sr. ("Claimant") was represented by Reagan D. Pratt, Esq., of Clements, O'Neill, Pierce, Wilson & Fulkerson, LLP, of Houston, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05486 Raymond James Financial Services, Inc. Name of the Respondent Hearing Site: Tampa, Florida Ramona Cumbie f/k/a/ Ramona Mackinnon Nature of tbe Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc. } hereinafter referred to as "Claimant": Bruce W. Barnes, Esq., Bruce W. Ba