Award NASD Dispute Resolution In the Matter of the Arbitration Between: es nf the. (Tntmnnte Case Number 03-01988 David N.Dolton Karen B. Dohon Names nf the Respondents Hearing Site- Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. James J.King William E. Fraley, III Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PRFSFMTATTON OF PARTTFS Claimants, David N. Dolton and Karen B. Dohon, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01985 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Orlando, Florida Kerry Constantine Geaneas Nature of the Dispute: Member Firm vs. Associated Person. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davidson & Grannum, L.L.P., Northvale, New Jersey.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Farahi, Claimant v. Greater Community Financial, L.L.C., Jeffrey Boss, Bruce Marshall Chodash, Michael W. Mulligan, and Robert H. Petersen, Respondents Case Number: 00-03572 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Office of Steven L. Miller Woodland Hills, California For Respondents: J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01984 William J. Chiusano HI and Carol C. Chiusano JTWROS Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William J. Chiusano III and Carol C. Chiusano JTWROS, hereinafter referred to as "Claimant": Emily Peaco

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Randi Everett and Samuel Everett (Claimants) v. National Planning Corporation and Marc Standig (Respondents) Case Number: 03-01978 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES The Estate of Randi Everett ("The Estate") and Samuel Everett ("S. Everett") hereinafter collectivel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Patton (Claimant) v. J.P. Morgan Chase & Co. (Respondent) Case Number: 03-01971 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Patton ("Patton") hereinafter referred to as "Claimant": Ramon A. Pagan, Esq., The Law Offices of Neal Bricknian, New York, NY. Respondent J.P. Morgan Chase & Co. (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley C. Franklin and Pari Franklin, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Mark E. Jachec, Respondents Case Number: 03-01968 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Julia Nell Delao and Deanna Lang Campise and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Carl Lee Thompson Case Number: 03-01967 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Julia Nell Delao and Deanna Lang Campise ("Claimants") wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Cagft Number 03- Melva J. Thompson, IRA Clement Thompson Names nf the Respondents Hearing Site- Raleigh, NC J.J.B. Milliard, W.L. Lyons, Inc. C. Mark Hall Nature of the Dispute: Customers v. Member and Associated Person. RF.PRFSFNTATTON OF PARTTF.S Claimants, Melva J. Thompson, IRA and Clement Thompson, hereinafter collectively referred to as "Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Suk Tae Bae and Eun Jin Bae v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Craig M. Cox Case Number: 03-01963 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Neg