Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled •'McGinnis Consolidated Case" ConsoUdated Case Number: 00-01472 MerriU Lynch, Pierce, Fenner & Smith, hic. v. Christopher Robert Mcfanis 00-01472 Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Lawrence R. Marina, Jr. 00-03153 Case Number 00-01472 Hearing Site: Las Vegas, Nevada Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant v. Christopher Robert Mclhnis, Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) and Franz Koch, (Claimant) v. Salomon Smith Barney, Inc., and Edward Reyman, (Respondents) Case Number: 01-01141 (consolidated with 01-01143) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Michael Koch, ("Michael") and Franz Koch (Franz): Mark Chinitz, Esq., and Gerard A.

• • NUB a£jsimi3nKA(B\ WgHonil AiiadMtaii ol Oni BM anmu6 Beukiwd Sum uno a LayganMl. RorMa 3aa» 1*: . MAY 1 ft" •A. Stair daixaaoofc. It. StatoMttt ctf Claia Ciladi tXBuny 15< iMl* al8M4 ly Bm ASM aC» 3291.. I,- Iflii. rtalBiwHr allagad ttet immalwin m» XUUiM far A fiSaa iMob C^^i^1l1nt^ paid oa IdUi bdMU and for a dttit telancM ia OMMHCS' amMaiartra as wax ao ottar in woi iHiiH MiB aDavgan am nwnta« ,« • .•'

Award NASD Dispute Resolution, Inc In the Matter of the Consolidated Case entitiied **Bracci Consolidated Cases" Consolidated Case Number: 00-02396 Hearing Site: San Diego, California Michael G. Bracci, Claimant v. San Qemente Securities, Inc., hiterPirst Capital Corporation, Cooke B. Christopher, Thomas H. Sunderland, and Anthony Clark Byrd, Respondents And related Third-Party Claim CaseNnmber: 00-02396 San Clemente Securities, Inc., Claimant v. Anth

AWARD NASD Regulation, Inc. CASE: 98-00520 Harriet St. John, claimant vs. First Union Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Pisgah Forest, NC. For respondent appeared Barbara H. Wright, Esq., - Charlotte, NC. DATE FILED: 2/10/98 CASE SUMMARY: Claimant alleged unsuitability with respect to her portfolio which consisted of a fixed annuity and bond funds. Claim Data Award Data Claim: $10,000.00 Award: $.00

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joarm Ancona (Claimant) v. Merrill Lynch, Pierce, Fermer &. Smith, Inc. and Frank Santanello (Respondents) and Joaim Ancona (Claimant) v. Prudential Seciuities, Inc. n/k/a Prudential Equity Group, Inc., Frank Santanello, and Thomas Lewis Tartagha (Respondents) Case Number: 01-04603 (consolidated w/02-06864) Hearing Site: New York, New York 01- 04603 Nature of the Di

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 01-06572, 01-06608, and 02-01781 Darlene Kellogg, IRA claimant vs. Charles Schwab & Company, respondent. Wayne Kellogg, claimant vs. Charles Schwab & Company, respondent. Wayne and Darlene Kellogg, claimants vs. Charles Schwab &. Company, respondent. ATTORNEYS: Claimants appeared pro se, Morro Bay, CA. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FILE

o AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Karl B. Groth, Karl J. Groth and Paul R. Koch V. Respondents Miller Johnson Steichen Kinnard, successor to John G. Kinnard and Company Inc., and John G, Kinnard and Company Inc. Claimant John G. Kinnard and Company Inc.. V. 01-06681 Minneapolis, Minnesota (Consolidated w/ 02-00716) o o Respondents Karl B. Groth, Kari J. Groth

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Schloerb (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) and John W. Schloerb (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-07049 (consolidated w/04-08080) Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant John W. Schloerb ("Schloerb") hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael G. Maida Names of the Respondents Paragon Financial Group, Inc. Bear Steams Securities Corporation Don W. Reinhard Case No.: 04-04105 (consolidated with 04-04106 and 04-06134) Hearing Site: Tampa, Florida In the Matter of the Arbitration Between; Name of the Claimant Karen Maida McCormick and Michael G. Maida Names of the Respon