Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: The Richard H. Stratton, Sr. and Sharon K. Stratton Revocable Inter Vivos Trust, Richard H. Stratton, Sr., and Sharon K. Stratton, Claimants v. Merrill Lynch, Pierce, Fermer & Smith, Inc., Monica M. Piepenkotter, Prudential Securities, Inc., and Randolph G. Richmond, Respondents Case Number: 02-03400 HearingSite: San Diego, California REPRESENTATION OF PARTIES For Claim

NASD Dispute Resolution Arbitration No. 02-03396 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. v. Denise M. Syers Case Number: 02-03396 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Morgan Stanley DW Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., Kane & Fischer, Ltd. Chicago, IL. Respondent Denise M. Syers, hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Ann Rourke (Claimant) v. Joseph J. Antosh and Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC (Respondents) Case Number: 02-03393 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Mary Ann Rourke ("Rourke") hereinafter referred to as "Claimant": Eva M. Puorro, Esq., Law Offices of Elisabeth Seieroe Maurer, Ridgefield, CT. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Annette M. DePizzo Annette M. DePizzo IRA Rollover Case Number. 02-0330-0 Names nf the Respondents Prudential Securities, Inc. n/k/a Prudential Equity and Thomas Wineland Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimants, Annette M. DePizzo and Annette M. DePizzo IRA Rollover, hereinafter collectively referred to as "Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Forest County Potawatomi Community on behalf of its Children's Trust v. 02-03389 Minneapolis, Minnesota Respondents Locust Street Securities, Inc., Brian Henkel and Jacqueline Conley Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Forest County Potawatomi Community on behalf of its Children's Trust ("Claimant") was

02/11/2004 15:26 FAX NA o n M ^ U i!002/01S AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant /Counter Respondent George K. Baum & Company v 02-03388 r> j +/n . rt , ^ Denver,Colorado Respondent / Counter Claimant Alexander G. Brown George K Baum & Company ("Claimant") was represented by Kathy Perkins, Esq., of Constangy, Brooks &. Smith, LLC, Kansas City, Missouri. Al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salomon Smith Barney, Inc., John B. Childers and Richard T. CorbaUy, Claimants v, Erik Hebdon, U.S. Bancorp Piper Jaflray, and Kelly Froderman, Respondents Case Number: 02-03385 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant Salomon Smith Barney, Inc.: For Claimants John B. ("Jack") Childers and Richard T. CorbaUy: For Respondents Erik Hebdon, K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Casft Number- 02-03378 Joseph P. Ceresko and Nancy B. Ceresko Name nf trie Rftspnndents Hearing Site: Philadelphia, PA First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and Robert B. Fitzpatrick Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph P. Ceresko and Nancy B. Ceresko

NASD Dispute Resolution Arbitration No. 02-03373 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eii J. Darveau Revocable Trust and Doris G. Darveau Revocable Trust, (Claimants) v. McDonald Investments Inc. and Kevin Ronald Sullivan, (Respondents) Case Number: 02-03373 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Eli J. Darveau Revocable Trust ("E. Darveau") and Doris G. Darve

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan G. Silberfein, Susan G. Silberfein IRA, and Susan G. Silberfein Roth IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jason B. Haberman, and Joseph M. Sullivan (Respondents) Case Number: 02-03372 Hearing Site: New York, New York Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Susan G. Silberfein ("S