Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirities, Inc. Mildred H. Beltz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^inities, Inc. Mildred H. Beltz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwee

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, IiKlividuaIfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirities, Inc. Mildred H. Beltz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaTmant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betw

Award NASD RegulBllon, inc. In the Matter off the Arbitration Between: A.6. Edwardft & Sons. Inc., Clafmant v. John Cabne and Pasquale Cabne. ReBpondents. Case Number 98-04924 Hearing Site: Kansas City, Missouri Consolidated with Maria Persell. John C^me and Pasquale Caime, Oaimants v. A.Q. Edwards & Sons, Inc. and Joseph Anttiony Nastasi, Respondents. Qase NMmber. 99-01160 Hearing Site: Kansas CHy, Missouri BEPBESEWTftTWffl Qf PAPTtSS Maria P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03765 Simon H. Hooks and Peggy Hooks, Claimants vs. Merrill Lynch Pierce Fenner & Smith Inc., Respondent. ATTORNEYS: Claimants Simon H. Hooks and Peggy Hooks ("Claimants") appeared Pro Se., through Simon H. Hooks, Lucama NC. Respondent Merrill Lynch Pierce Fenner & Smith Inc. ("Respondent") appeared through its in- house counsel Bryan I. Reyhani, Esq. New York, NY. DATE FILED: June 2

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joel A. Stone, (Claimant) v. Cambridge Capital, LLC, Thomas M. Rossi, and Frances Thomas LLC, (Respondents)— Case Number: 99-01267 consoUdated with Joel A. Stone, (Claimant) v. Wexford Clearing Services, Corp. and Prudential Securities, Inc. (Respondents) Case Number: 00-00959 Hearing Site: Chicago, IlUnois REPRESENTATION OF PARTIES Claimant Joel A. Stone ("Stone

Award NASD Dispute Resolution, Inc. In Uie Matter of the Arbitration Between lanney Montgomery Scott IXC (Claimant) vs. Gary R. Gross, (Responds) and Jaimey Montgomery Scott LLC (Claimant) vs. John M. Mulvihill (Respondent) Case Number: 99-04278; consolidated with 99-04279 ~ Hiring Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Janney Montgomay Scott LLC ("Janney"): Richard A. Purkiss, Senior Vice President, Janney Montgomery Sco

AWARD NASD Dispute Resolution, Inc. hi the Matter of the Aibitration Between Name of Claimant Dennis Boyle and 99-03935 (consolidated witii 99-04332) Scottsdale, Arizona Name of Respondents R.J. Steichen & Company James A. Bjomlie Name of Claimants Jim T. Boyle and J.T.B. Associates, Inc., PSP and 99-04332 Name of Respondents R.J, Steichen & Company James A. Bjomlie REPRESENTATION OF PARTIES Dennis Boyle, Jim T.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASES: 99-03679 and 99-3683 J. B. Hanauer & Co., claimant vs. Scott Ceniccola, respondent. J. B. Hanauer & Co., claimant vs. Karen Weisberg, respondent. ATTORNEYS: For claimant J. B. Hanauer & Co., appeared George W. Amett, III, of the firm Lowenstein Sandler. PC, Roseland, NJ. For respondents Karen Weisberg ("Weisberg"), and Scott Ceniccola ("Ceniccola"), appeared Dennis C. Dice Esq., of the

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Salomon Grey FOoancial Corporation (Claimant) vs. Kenneth R. Lauher, Amir A. Yuzaryand Alex Makarovsky, (Respondents). Case Number: 00-01161 Hearing Site: Dallas, Texas consolidated with 00-02552 Amir A. Yuzary, Kenneth R. Lauher and Alex Makarovsky vs. Salomon Grey Financial Corporation, Michael Fraser, Lee M. Solomon, Jr. and James B ready. REPRESENTATION OF PARTIES