AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants ING America Insurance Holdings, Inc. and Multi-Financial Securities Corporation v. 02-04242 Denver, Colorado Respondents Geneos Wealth Management, Inc., Russell R. Diachok and George Diachok Counter-Claimants Geneos Wealth Management, Inc., Russell R. Diachok and George Diachok v. Counter-Respondents ING America Insurance Holdings, Inc. a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p rvF thft riflimant Pflgp N^mfoT 02-04241 Lorraine Pasciak Names of th? Pfflp n nd?nts Hiring ftitft' Chicago, Illinois UBS/PaineWebber Inc. and James R. Kirchner Claimant Lorraine Pasicak hereinafter referred to as "Claimant": Brian T. Garelli, Esq. and Brian J. Russell, Esq. of Brian T. Garelli & Associates, P.C. located in Elmhurst, Illinois Respondents UBS Finan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimants Kimberly, Linda and Judith Marenus Respondents UBS Painewebber Inc., Frank Fabiano, and Evan Cole Case Number: 02-04238 Hearing Site: New York, New York Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Kimberly, Linda and Judith Marenus, hereinafter referred to as "Claimants": Todd H. Lamport, Esq., Lam

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04236 George Lindenbaum and Eleanor Lindenbaum, claimants vs. Raymond Rodriguez, Robert Blain and Jeff Pezton, respondents. ATTORNEYS: Claimants appeared pro se through George Lindenbaum, Redondo Beach, California. Respondent Raymond Rodriguez did not respond to the Statement of Claim. For Respondent Robert Blain appeared in-house counsel, John M. Norton, II, Esq., St/ Petersburg, FL.

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-04231 Raymond Skinner, Jr. Names of Respondents Hearing Site: Memphis, TN Merrill Lynch, Pierce, Fenner & Smith, Inc. Norman H. Blake REPRESENTATION OF PARTIES Raymond Skinner, Jr., hereinafter referred to as "Claimant", appeared pro se. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS") and Norman H. Blake ("Blake"), h

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sherwyn Wayne on behalf of himself and as trustee of the Shenvyn Wayne Living Trust, and Ruth Wayne on behalf of herself and as trustee of the Ruth Wayne Living Trust, (Claimants) v. Prudential Securites, Inc., D.H. Blair & Company, Wexford Clearing Services Corporation, D.H. Blair Investment Banking Corp., Nicholas Sergio, Joseph Davis, and Kenton Wood, (Respondents) Case Num

Award NASD Dispute Resolution In the Matter of the Arbitration Between: flr 02-04222 Thor Johnson Krista Johnson pg nf \\)f* RpgpnnHftfrtg TTparmg Site- Boca Raton, Florida Morgan Stanley DW Inc. Eric Michael Johnson Nature of the Dispute: Customer vs. Member and Associated Person. For Thor Johnson ("TJ") and Krista Johnson ("KJ"), hereinafter referred to as "Claimants": Marc A. Wites, Esq., Wites & Kapetan, P.A., Deerfield Beach, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant CasaMirnher: 02-04221 Lorraine Farneth, Trustee and George Dock, Trustee FBO Joanne F. Dua Trust Name nf the Respondents Hearin£ Site: Pittsburgh, PA Legg Mason Wood Walker, Incorporated Charles J. Vollmer Nature of the Dispute: Customers vs. Member and Associated Person. RKPRF.SKNTATTON OF PARTIES Claimants, Lorraine Farneth, Trustee

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Soma S. Avva, Nagaveni J. Ayva, and Soma S. Awa, M.D., Inc.(Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Robert H. Newsock (Respondents) Case Number: 02-04218 Hearing site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Soma S. Avva, Nagaveni J. Avva, and Soma S. Avva, M.D., In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William A. Asmuth, as Trustee for Gibraltar Moving & Storage Profit Sharing and Pension Plans, William Asmuth & Patricia Asmuth, Patricia Asmuth IRA, William Asmuth IRA, and William Asmuth as Custodian for Amy and Kelly Asmuth (Claimants) v. Royal Alliance Associates, Inc. and Arthur Grossbard (Respondents) Case Number: 02-04217 Hearing Site: New York, New York Nature of the Dispute