Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp. nf ffrf. f]pimanK Pp< ;p N^m^p.r 02-04521 Harmesh C. Singla and Kamlesh R. Singla of The F pg p n P^^nt pfparmg 5!it< v Chicago, Illinois E*Trade Securities, Inc. PAttTTFS Claimants Harmesh C. Singla and Kamlesh R. Singla, hereinafter referred to as "Claimants": located in Glen Ellyn, Illinois were pro se. Respondent E*Trade Securities, Inc., hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tulsi B. Swamy, Claimant v. E*TRADE Securities LLC, Respondent Case Number: 02-04519 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Tulsi B. Swamy Pro Se Cupertino, California For Respondent: John Bersin E*TRADE Securities LLC Rancho Cordova, California CASE INFORMATION Statement of C

"* Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp rifli-mants Pase Number: 02-04516 Donald L. and Chae P. Weston Donald L. Weston IRA Chae P. Weston IRA Name nf tbe Respondents Hearing Site: Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter J. Russo, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. KFPRF.SFNTATTON OF PAKTTF.S Claimants, Donald L. and Chae

AWARD MAsn BTrrjTTATtnfff. TOP- nwtrv. (w nisPtJTR HTSOTJITTON Ip the matter of tbe AibitiatioD B«tweeD fint Wntem Advisors V. Azbitrttion No. 964)5465 J«metP.Baster Ant WeitttB AdvisoTi and CvyTecaa KETRWEWTATlftrr OF MRTIBfi Firit Wecteni Advison was icpmtaxtd by Jeficry E. NCIBOO, Esq., Vancott Bagley Cornwall A ficgley. Salt Lake City. Utah. Janca P. EaitEr was repreaeuted by Diane H. Banks. E:^., lUian ft Qendeoin, Salt Lake

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold W. Chamberlain, Trustee of the Chamberlain Family Living Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Francis McMahon, Jr., Respondents Case Number: 02-04514 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John G. Appel, Jr., Esq. Law Offices of John

Award \ASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Martin Minnella, (Claimant) vs. Gilford Securities, Inc., (Respondent) vs. John D'Aversa (Third-Party Respondent) Case Number: 97-05381 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Martin Minnella, hereinafter referred to as "Claimant": James W. Cummings, Esq., Moynahan, Ruskin, Mascolo & Minnella, Waterbury, CT. Previously represented by: Lynn E. Jud

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott Schultz and Schultz Investment Advisors, Inc. vs. Kathy Bradford, Dominion investor Services, Inc., and Dominion Financial Advisors, Inc. (97-5591) and Scott Schultz and Schultz Investment Advisors, Inc. vs. Dominion Investor Services, Inc., and Dominion Financial Advisors, Inc. (97-4981) Case Number 97-5591 & 97-4981 (consolidated) Hearing Site: Detroit, Michigan REPRESENTATI

JOHN R. LOFTUS, Bar No. 126841 JANET SIMMONS STEMLER, Bar No. 130590 KEESAL, YOUNG & LOGAN A Professional Corporation 400 Oceangate P.O. Box 1730 Long Beach, California 90801-1730 Telephone: (562) 436-2000 Facsimile: (562) 436-7416 Attorneys for Respondents CRUTTENDON ROTH INCORPORATED and ROBERT T. CLAWSON RECEIVE \K\u AiDiiracton Medi( BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitr

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants A.G. Edwards and Sons, Inc., Cheryl Anthony and 97-05227 Name of Respondent Mercantile Investment Services, Inc. Consolidated with Name of Claimant Mercantile Investment Services, Inc. and 97-05228 Name of Respondents A.G. Edwards and Sons, Inc., Cheryl Anthony REPRESENTATION OF PARTIES

vASD Diss-te r ^solution, T> [S f& fi n < YT rg STIPULATEDAWARD ." " ^ NASD Dispute Resolution, Inc. JAN Q 5 2Q04 i •-, } JAN 0 5 2004 j H LJli LrJ In the Matter of the Arbitration Between: Case Number: 02-04511 Ronald Doneff and Sandra Doneff vs. Bane of America Investment Services, Inc.; Gregory J. Schulte REPRESENTATION OF PARTIES Claimants, Ronald Doneff and Sandra Doneff, Robert D. Mitchell, Esq, Mitchell Law