NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05459 Estate of Jerome A. Mullett, Claimant vs. Kathy Day and Jennifer Lamonica, Respondents. ATTORNEYS: Claimant, Jerome A. Mullett, appeared pro se., Westminster, MD For Respondents, Kathy Day and Jennifer Lamonica, appeared Patrick M. Dennis, Esq., in-house counsel for Wachovia Securities, Richmond, VA, DATE FILED: September 13, 2002 CASE SUMMARY: Claimant alleged that Respondents fai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Einar Greve, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent Case Number: 02-05458 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES For Claimant: John A. Baade, Esq. Law Office of John A. Baade Tucson, Arizona For Respondent: Tom Galbraith, Esq. Meyer, Hendricks & Bivens Phoenix, Arizona CASE INFORMATION Statement of Claim filed: Septembe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Daniels, (Claimant) vs. Chase Investment Services Corp., (Respondent) Case Number: 00-04008 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Daniels, hereinafter referred to as "Claimant": Daniel A. Eigennan, Esq., Attorney at Law, New York, NY. Respondent, Chase Investment Services Corp., hereinafter referred to as "Respondent": Matthew C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Manning Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-05454 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mark Manning, referred to as "Claimant": John C. Taylor, Esq., Taylor, Day & Currie, Jacksonville, Florida. For Merrill Lynch, Pierce, Fenner & Smith, Inc., referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05453 John J. and Marianne Maxwell Name of the Respondent Hearing Site: Tampa, Florida H&R Block Financial Advisors, Inc. REPRESENTATION OF PARTIES For John J. and Marianne Maxwell, referred to as "Claimant": Bruce W. Barnes, Esq., Bruce W. Barnes, P. A., Clearwater, Florida. For H&R Block Financial Advisors, Inc., referred to as "Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05452 John W. Hood Name of the Respondent Hearing Site: Atlanta, Georgia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John W. Hood, hereinafter referred to as "Claimant": John P. Gallagher, Esq. and Ronald J. Stay, Esq., Stites & Harbison PLLC, Atlanta, Georgia and Brian N. Smiley,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeffrey H. Cooper and Jeffrey H. Cooper & Renee Cooper JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Zaffos Case Number: 02-05450 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES' For Jeffrey H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimaTit Pase Number- 02-05447 Nancy D. Morrow Name of the Respondents Hearing Site: Charlotte, North Carolina First Union Brokerage Services, Inc. k/n/a Wachovia Securities, Inc., and Cynthia L. Wadkinson RFPRFSFNTATTON OF PAKTTF.S Claimant Nancy D. Morrow, hereinafter referred to as ("Claimant"), was represented by Scott Tippett, Esq., House & Tippett, PLL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: r*lflimantg P.flgp fifrirnhflr' 02-5445 Deborah Persiani and Dennis Persiani A.G. Edwards & Sons, Inc. H^r^g ftite- Chicago, Illinois and Stefan Buganjy Off PAPTTF.S Claimants, Debra Persiani and Dennis Persiani and ("Claimants") were represented by Howard Stein, Esq., located in Chicago, Illinois. Respondents, A.G. Edwards & Sons, Inc., ("AGE") and ( "Buganjy"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05439 Fahnestock & Co. Inc., Claimant vs. Patricia A. Clark and Oba D. Johnson, Respondents. ATTORNEYS: " For Claimant, Fahnestock & Co. Inc., ("Claimant") appeared W. Scott Turnbull, Esq., of the Law Offices of Miller, Canfield, Paddock and Stone, PLC, Detroit, MI. Respondents, Patricia A. Clark and Oba D. Johnson, (collectively "Respondents"), did not respond to the Statement of Claim.