Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-06750 Thomas O. Russell and Yvonne M. Russell as co-trustees to the Russell Revocable Trust dated 9/25/1992; Yvonne Russell, TOD Beneficiaries on File Name of the Respondent Hearing Site: Albuquerque, New Mexico Merrill Lynch Pierce Fenner & Smith, Inc. and Does 1 through 20 REPRESENTATION OF PARTIES Philip M. Aidikoff, Esq., of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfip Plairpant PawNimihgr- 01-06749 Glenn White i tf *' Philadelphia, PA Noble International Investments, Inc. Jerry Perlman RFPRFFNTATTON Claimant, Glenn White ("White"), hereinafter referred to as "Claimant": Glenn S. Gitomer, Esq., McCausland, Keen & Buckman, Radnor, PA. Respondents, Noble International Investments, Inc. ("Noble") and Jerry Perhnan ("Perlma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of t]-|p riaimarit C.a$?. Wmrfner- 01-06747 Jonathan Rankin Morgan Stanley DW Inc.; and James L. Harvey, IE Hiring ^itf Dallas, Texas Claimant Jonathan Rankin (''Rankin") was represented by Beth Ann Blackwood, Esq. of the firm of Kolodey, Thomas & Blackwood, L.L.P., located in Dallas, Texas. Respondents Morgan Stanley DW Inc. ("MSDW") and James L. Harvey, IE ("Harvey") were

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Stanley Altaian Names of the Respondents First Union Securities Financial Network, Inc. Charles E. Scarlett, Esq. Case Number: 01-06738 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Stanley Altaian, hereinafter referred to as "Claimant": Daniel Lacesca, Esq., Law Office of Daniel Lacesca, P.A., Boca Raton, Florida. For First Union Securities F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-06737 Dr. Juergen and Gabriele Boecker Trustees UAD 11/15/2000 Boecker Family Trust Gabriele Boecker Felix Boecker UTMA/FL Gabriele Boecker and Christel Geller, JTWROS Dr. Juergen Boecker C/F Moritz Boecker UTMA/FL Names of Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Christopher Vining REPRES

Award NASD In the Matter of the Arbitration Between: Name of Claimant S. Mark Brockington, Individually and as Trustee for the Samuel Mark Brockington Revocable Trust dated 10/9/93 Names of Respondents Salomon Smith Barney David Michael Harris Case Number: 01-06736 Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For S. Mark Brockington, Individually and as Trustee for the Samuel Mark Brockington Revocable Trust dated

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01 -06729 Donald C. and Marianne C. Kievit JTTEN Names of Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. John E. Piper REPRESENTATION OF PARTIES For Donald C. and Marianne C. Kievit JTTEN ("Claimant"): Roy W. Howard, Esq., Floyd A. Hillstrom, Esq. and William Randolph Klein, Esq., Law Offices of W.R. Klein, P.A., Sarasota, Florida. For Morgan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Randall Rogers and Carolyn Rogers Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kevin Neil Haynes Bob Runkle Case Number: 01-06727 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Randall Rogers and Carolyn Rogers ("Claimants"): Kirk George Smith, Esq., Shepherd, Smith & Bebel, P.C., Houston, Texas.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02421 Wall Street Access, claimant vs. Arnold Bonk, respondent. ATTORNEYS: For Claimant appeared, Denis Kelleher, Esq., of the firm Kelleher Leone & Schwartz LLP, New York, NY. Respondent appeared Pro Se, Plantation, FL. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to satisfy his financial obligations to them in that his account currently carri

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number* 01-06719 First Union Securities, Name of the Respondent Hearing Site- Houston, Texas Jay Stanley Mathis, Claimant First Union Securities, hereinafter referred to as "Claimant," was represented by Diane C. Fischer } Esq. of Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent Jay Stanley Mathis, hereinafter referred to