NASD Dispute Resolution Arbitration No. 02-04260 Award Page 1 of 4 Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Engel and Melissa Engel (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Miriam Martin (Respondents) Case Number: 02-04260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Engel and Melissa Engel, hereinafter collectively referred to as "Claimants": Richard D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Paine Webber, Inc. v. Edward Moran Hearing Site: New York, New York Case Number: 02-04257 REPRESENTATION OF PARTIES Claimant, UBS Paine Webber, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP, Northvale, NJ. Respondent, Edward Moran, hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATION Statement o

CASE: 02-04256 Catherine M. Tenebruso, claimant vs. Jennifer Ferguson, respondent. ATTORNEYS: Claimant appeared pro se, Ormond Beach, FL. For Respondent appeared Kimberly G. Anderson, Esq, in-house counsel for Edward D. Jones & Co., St. Louis, MO. DATE FILED: July 19, 2002 CASE SUMMARY: Claimant alleged that respondent cancelled stock trades without her permission. Claimant maintained that because of respondent's actions, her account suffered a loss

STIPULATED AWARD NASD DISPUTE RESOLTUION LUDWIG E. KOLMAN, ) Claimant, ) i - vs. , ) CASE NUMBER: No. 02 - 04252 ' < ) Hearing Site: Chicago, Illinois NORTHERN TRUST SECURITIES, INC., ) JAMES DAVID DINGLE and THOMAS ) A.KUHN, ) Respondents. ) REPRESENTATION OF PARTIES Claimant, Ludwig E. Kolman, is represented by James J. Moylan of Tressler, Soderstrom, Maloney & Priess, Sears Tower, 22 nd Floor, 233 South Wacker Drive, Chicag

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles R. and Peggy S. Matthews and 00-02837 Albuquerque, New Mexico Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. Mark E. Humphrey REPRESENTATION OF PARTIES Charles R. and Peggy S. Matthews ("Claimants") were represented by Clinton W. Marrs, Esq., Vogel Campbell Blueher & Castle s P.C., Albuquerque New Mexico. Merril

tfASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04250 American Express Financial Advisors, on its own behalf and on behalf of American Express Financial Direct, American Express Enterprise Investment Services and American Express Service Corporation, claimants vs. E W Rucker, respondent. ATTORNEYS: For Claimants appeared Anthony J. Gericke, Margin Department, American Express Financial Advisors, Minneapolis, MN. Respondent did not re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04249 Billy Ray Nichols Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. Howard Neff Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Billy Ray Nichols, referred to as "Claimant": Russell C. Silverglate, Esq., Law Offices of Dickenson Murphy Rex an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: * Name of the Claimant Case Number: 02-04247 James M. Edwards ' ' Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter • ' .,, * Nature of the Dispute: Customer vs. lk Member. t REPRESENTATION OF PARTIES M * Claimant James M. Edwards appeared pro se. • For Morgan Stanley Dean Witter, hereinafter referred to as "Respondent"

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jonathan P. Pratt v> 02-04246 Denver, Colorado Respondent Merrill Lynch Pierce Fenner & Smith, Inc. and Forrest Dion Smith in Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jonathan P. Pratt ("Claimant") was represented by William R. Rapson, Esq., of Welborn Sullivan Meek & Tooley, P.C., Denver, Colora

CASE: 02-04244 American Express Financial Advisors, claimant vs. George J. Margellos, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Tony Gericke, Esq., Minneapolis, MN. Respondent did not respond to the Statement of Claim. DATE FILED: My 22, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on an outstanding debit balance in his account. Claim Data Award Data Claim: $7,593.26 Award: $7,593.26 Filing