Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. Harris (Claimant) v. Merrill Lynch Pierce Fenner & Smith, Inc., and Mitchell P. Slater (Respondents) Case Number: 02-03603 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard J. Harris, hereinafter referred to as "Claimant": Andrew M. Lusskin, Esq., Braff, Harris & Sukoneck, Livingston, NJ. Respondents, Merrill Lynch Pierce Fenner & Smith ("Me

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Saul and Helen Lerner Case No. 00-02779 Names of Respondents Salomon Smith Barney, Inc. David E. Ashbes REPRESENTATION OF PARTIES For Saul and Helen Lerner ("Lerner"), hereinafter collectively referred to as "Claimants": Jeffrey Sonn, Esq., Mager & Sonn, LLP, Fort Lauderdale, Florida. For Salomon Smith Barney, Inc. ("Salomon Smith")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03596 Beatrice Chernok Name of the Respondent Hearing Site: Orlando, Florida Allen Douglas Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beatrice Chemok, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Offices of Neal J. Blaher, Orlando, Florida. For Allen Dougla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Patricia A. Dyer Barbara C. Massey Estate of Edgar S. Massey Cnse Number: 02-03592 (Master Case) Name nf the "Respondent InterSecurities, Inc. Hearing Site: Baltimore, Maryland Name nf Third-Parly Kespnnrtent Robert Bruce Sando In the Matter of the Arbitration Between: Name of the Claimants John D. and Martha C. Cof&nan Name nf t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Prasanta K. Nath, Dipti Nath, Swapnadeep Nath and Anindita Nath and 02-03589 Phoenix, Arizona Name of Respondents Emmett A. Larkin Company, Inc. Apostolos P. Sigalos Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Prasanta K. Nath, Dipti Nath, Swapnadeep Nath and Anindita Nath ("Claimants") were represente

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant John J. Gililland, M.D. and Richard L. Smith, M.D. as Trustees FBO Clinic of Physicians & Surgeons Profit Sharing and Pension Plan dated 3/1/77 And 02-03588 Phoenix, Arizona Name of Respondents Financial West Group Ernest W. McGeorge Douglas E. McGeorge Norman L. Yu and Norman L. Yu &. Company, Inc. Nature of the Dispute: Customer vs. Member

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terri E. Lee as Trustee of the Terri E. Lee Living Trust DTD 7/09/96, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Michael W. Johns, and Caesar A. Cepeda, Respondents Case Number: 02-03586 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Bradd L. Milove, Esq. W. Ric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The B.G. Holbrook Family Trust, Claimant v. Fidelity Brokerage Services, LLC, Respondent Case Number: 02-03582 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimant: Richard N. Bigelow, Esq. Counselor At Law Bountiful, Utah For Respondent: Jonathan D. Neerman, Esq. Jenkens & Gilchrist Dallas, Texas CASE INFORMATION Statement of Claim dated: Ju

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lowell G. Miller (Claimant) v. Donaldson & Co., Inc. (Respondent) Case Number: 02-03577 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Lowell G. Miller ("Miller") hereinafter referred to as "Claimant": Aegis J. Frumento, Esq., Duane Morris, LLP, New York, NY. Respondent Donaldson & Co., Inc. ("Donaldson") hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Suzy Witten, Claimant v. RBC Dain Rauscher f/k/a Sutro & Company and Daniel E, Munter, Respondents Case Number: 02-03575 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Theodore A. Cohen, Esq. Law Office of Theodore A. Cohen Beverly Hills, California For Respondents