Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ladd S. Reynolds, an individual, and the Ladd S. Reynolds IRRA, Claimants v. Merrill Lynch Pierce Fermer & Smith Inc. and Jeffrey A. Russell, Respondents Case Number: 02-02559 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Carol A. Gefis, Esq. Oswald & Yap Irvine, California For Respondents: Eric J. Glassman, Esq. Mennemeier, Glassman &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ken Starrett, Claimant v. Edward D. Jones & Co., Respondent Case Number: 02-02557 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: James M. Bendeu\ Esq. Law Offices of James M. Bendell Port Townsend, Washington For Respondent: Joseph B. Genster, Esq. Hillis, Clark, Martin & Peterson Seattle, Washington CASE INFORMATION Initial Statement o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Tollaksen (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Edward Baird, and Mark Miles (Respondents) Case Number: 02-01897 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jeff Tollaksen ("Tollaksen") hereinafter referred to as "Claimant": Seth E. Lipner, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02662 Frederick Craig III, claimant vs. Datek Online Brokerage Services LLC, respondent. ATTORNEYS: Claimant appeared Pro Se., Geneseo, KS. For Respondent appeared William M. Turner, Esq. of the firm Jones, Bell, Abbott, Fleming & Fitzgerald LLP, Los Angeles, CA. DATE FILED: June 22, 2000 CASE SUMMARY: Claimant alleged that respondent's system failure caused him to place repeat

NASD Dispute Resolution In the Matter of the Arbitration Between: Antonella DeBello (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Darden R. Livesay, Jr. (Respondents) Case Number: 02-01896 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Antonella DeBello, hereinafter referred to as "Claimant": Brad Jacobs, Esq., Perkins, Smith & Cohen, LLP, One Beacon Street, Boston, MA 02108-3106. Respondents Merrill Lynch, Pierce, Fenner,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant, Jae Sook So v. Respondents, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Yeong-In Bae and Edward Blatz Case Number: 02-01891 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jae Sook So ("So") hereinafter referred to as "Claimant": M. David Sayid, Esq., Sayid & Assoc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frances J. Zirnmer IRA (Claimant) v. Bluestone Capital Corp. a/k/a Whale Securities Corp., LF, Janet Burke, Donald O'Connor, William Walters, Joseph McSherry, Matthew Gohd, Branco Belusic, BNY Clearing Services, LLC, and Sands Brothers & Co. Ltd. (Respondents) Case Number: 02-01890 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01889 Berry-Shino Securities, Inc., claimant vs. Michael Baldo, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: April 3, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under the terms of a Letter Agre

Award NASD In the Matter of the Arbitration Between; Names of the Claimants Case Number: 02-01887 Cathleen F. Norris, individually Cathleen F. Norris IRA Joan S. Norris, individually Joan S. Norris IRA Joan S. Norris as Trustee of the Joan S. Norris Trust Joan S. Norris as Co-Trustee and Cynthia Pifer as Co-Trustee of the Donald H. Norris Trust Joan S. Norris as Custodian of the Jonathan M. Pifer UTMA/FL Joan S. Norris as Custodian of th

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dubin Family Trust, Albert Dubin, and Zelda Dubin, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Lawrence A. King, Julie F. Krumdieck, Dean L. Welsh, and Merrill Lynch & Co., Inc., Respondents Case Number: 02-01879 Hearing Site: San Diego, California Nature of the Dispute: Customers vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES