Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marne of thf^ riaimants f!ase NnmVier- 02-01559 Elmer Aisquith Elmer Aisquith IRA Anna Mae Aisquith ~Mame nf th^ Respondent Hearing Site; Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. Keith M.Hendrick William Davis, Jr. Nature of the Dispute: Customer vs. Member and Associated Persons. RRPPFSFNTTATTON OF PARTTF.S Claimants, Elmer Aisquith

r Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number: 02-01558 Elmer and Anna Mae Aisquith Names of the Respondents Hearing Site: Baltimore, MD Morgan Stanley DW S Inc., Paul L. Fowler and Kimberley Mailloux Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Elmer and Anna Mae Aisquith, hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rimmant rase Number- 02-01555 Lester Aisquith , Trustee for the Lester Aisquith Revocable Trust Name nf the Respondents Hearing Site: Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. William D. Davis, Jr. Keith M. Hendrick Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRFSFNTATTON OF PARTTF.S Claimant, Lester A

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-01553 James Goodwin Names of Respondents Hearing Site: Atlanta, GA Donald Player Ron Taylor REPRESENTATION OF PARTIES James Goodwin ("Claimant") appeared pro se. For Donald Player ("Player"): Scott Ratchick, Esq., Hunton and Williams, Atlanta, GA. Ron Taylor ('Taylor") did not appear. CASE INFORMATION Statement of Claim filed on or about: April 8,20

Award NASD In tne Matter ol tne Arbitration between: Name of the Claimant Case Number: 02-01547 Frederic S. Greene Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Ralph Byer REPRESENTATION OF PARTIES Claimant Frederic S. Greene appeared pro se. For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS") and Ralph Byer ("Byer"), hereinafter referred to as "Respondents": Jason M. Fedo, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D'Aniello, Emilia D'Aniello, the John D'Aniello IRA, and the Emilia D'Aniello IRA, (Claimants) vs. Morgan Stanley Dean Witter & Co. f/k/a Dean Witter Reynolds Inc. and Steven Klein, (Respondents) Case Number: 02-01545 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John D'Aniello ("J. D'Aniello"), Emilia D'Aniello ("E. D'Aniello"), the John D'Aniello I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Hughes and Maryrose Hughes (Claimants) v. Somerset Financial Group, Inc., Lucy DiGioia, David Porto Velinsky, vFinance Investments, Inc., Douglas Toth, and Nicholas Thompson (Respondents) Case Number: 02-01544 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas Hughes ("T. Hughes"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brenda Wyetzner and Brenda Wyetzner, IRA, (Claimants) v. Bear Stears & Co,, Inc. and Ira Tilchen, (Respondents) Case Number:Q2-Q1542 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Brenda Wyetzner ("Wyetzner") and Brenda Wyetzner, IRA ("Weytzner IRA"), hereinafter referred to as "Claimants": Adolph D. Seltzer, Esq., Adolph D. Seltzer Attorney at Law, Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01541 UBS PaineWebber, Inc., claimant vs. Gary Walter, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. For Respondent appeared Randolph V. Kruman, Esq., Cortland, NY. DATE FILED: March 15, 2002 CASE SUMMARY: Claimant alleged that respondent was unjustly enriched when he sold 400 shares of Coca Cola which were mistakenly transferred into his accou

Award NASD Regulation, inc. In the Matter of the Arbitration Between: Cynthia D. Burger v. Independence One Brokerage Services, Inc. Case Number: 00-2538 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Cynthia D. Burger ("Burger"), hereinafter referred to as "Claimant": S. Francis Baldwin, Esq., St. Louis, Missouri. Respondent, Independence One Brokerage Services, Inc. ("IOBS"), hereinafter referred to as "Respondent": Patrice S.