Award NASD Dispute Resolution In the Matter of the Arbitration Between: rvf fly* Claimant P^CP NntflVigf 02-00273 Ali Farmehr jfp' Dallas, Texas Salomon Smith Barney Inc. and Renee Sterling O Claimant Ali Farmehr , hereinafter referred to as "Claimant": John E. Dees, Jr., Esq. of Dallas, Texas. Respondents Salomon Smith Barney Inc. ("SSB") and Renee Sterling ("Sterling"), hereinafter collectively referred to as "Respondents": William HoH

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-00268 Hector Pazos Ursula Pazos Names of the Respondents Hearing Site: Tampa, FL Salomon Smith Barney Todd Hoffman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hector Pazos and Ursula Pazos, hereinafter collectively referred to as "Claimants": Nicholas J. Taldone, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-00266 Meyer Katzman, IRA and Meyer Katzman and Salliann Katzman as co-trustees to the Henrietta Katzman Revocable Trust dated May 19,1995 Name of the Respondents Hearing Site: Kansas City, Missouri Morgan Stanley DW Inc. and John L. Hoffman REPRESENTATION OF PARTIES Robert Best, Esq. and Amy M. Gulinson, Esq. of the firm Husch &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Davenport, (Claimant) vs. Republic Equities of America Ltd. and Leonardo Balzano, (Respondents) Case Number: 02-00262 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert A. Davenport, hereinafter referred to as "Claimant": Allen N. Taffet, Esq., Duval & Stachenfeld, LLP, New York, NY. (Mr. Taffet was with the law firm of Herzfeld & Rubin, P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marvin Zim IRA Name of the Respondent Fidelity Brokerage Services LLC we. Number- 02-00259 Hearing Site: Washington, D.C. RF.PRFSRNTATTON OF PARTTF.S Claimant Marvin Zim IRA, hereinafter referred to as "Claimant", was represented by Marvin Zim, Washington, D.C. Respondent Fidelity Brokerage Services LLC, hereinafter referred to as "Respondent", w

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lois Nashner, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Respondent Case Number: 02-00249 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Gary B. Fields, Esq. Law Office of Gary B. Fields Mill Valley, California For Respondent: John W. Cotton, Esq. Cotton & Gundzik LLP Los Angeles, California CASE INFORMATION Statement of Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-02412 Wall Street Access, claimant vs. Derrick Beard, respondent. ATTORNEYS: For Claimant appeared Denis Kelleher, of the firm Kelleher, Leone, & Schwartz, LLP, New York, NY. Respondent failed to submit a response to the Statement of Claim. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance in his customer account.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Howard, (Claimant) vs. Edward D. Jones & Co., L.P. and Nichole D. Durocher, (Respondents) Case Number: 02-00248 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Jerry Howard ("Howard"), hereinafter referred to as "Claimant": Thomas B. Wheatley, Esq., Thomas B. Wheatley, Attorney at Law, Portland, ME. Respondents, Edward D. Jones & Co., L.P. ("Jones")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 02-00245 Mary Ann Montoya, claimant vs. Cal Fed Investments, respondent. ATTORNEYS: Claimant appeared pro se, Oakland, CA. For Respondent appeared Gordon C. Young, Esq., of the firm Keesal, Young & Logan, P.C., San Francisco, CA. DATE FILED: January 15, 2002 CASE SUMMARY: Claimant alleged that respondent purchased unsuitable investments contrary to her investment objectives. Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Doneen and Herbert Doneen, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Inc., Robert D. Dischley, and Thomas L. Pristavec, Respondents Case Number: 02-00244 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons , 1 REPRESENTATION OF PARTIES For Claimants: Robert C. Burlison, Jr., Esq. Burlison & Luostar