NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 01-06572, 01-06608, and 02-01781 Darlene Kellogg, IRA claimant vs. Charles Schwab & Company, respondent. Wayne Kellogg, claimant vs. Charles Schwab & Company, respondent. Wayne and Darlene Kellogg, claimants vs. Charles Schwab & Company, respondent. ATTORNEYS: Claimants appeared pro se, Morro Bay, CA. For Respondent appeared in-house counsel, Steve Murphy, Esq., San Francisco, CA. DATE FIL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: -: p Robert L. Murray TTEE U/A DTD 05/27/1993 r- 01-06570 Merrill Lynch Pierce Fenner & Smith Inc Lewis Berry Paul Vannatta Charles H. Maguire, III ng ^i tp ' Charlotte, NC OT7 PARTIES Claimant, Robert L. Murray TTEE U/A DTD 05/27/1 993 ("Murray"), hereinafter referred to as "Claimant": Sarah G. Anderson, Esq., Clawson & Staubes, LLC, Charl

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant LiBu Case No. 00-02250 Name of Respondent SS»il==3=^=^=WS^*^^^^^^=i= Charles Schwab & Company, Inc. Heaiing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, LI Du, hereinafter referred TO as "Claimant": Claimant appeared at the hearing pro se. Respondent, Charles Schwab & Co,, Inc, ("Schwab"), hereinafter referred TO as "Respondent"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marion Busia, Claimant v. Prudential Securities, Inc., Martin B. Fox, and John P. Curran, Respondents Case Number: 01-06569 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: B. Bruce Kittrell, Esq. Law Offices of B. Bruce Kittrell Torrance, California For Respondents: Charles La Chaussee, Esq. Prudential Securities, Inc. San Francisco, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Giugliano and Anthony Ottimo, (Claimants) vs. Giro Bocchetti, (Respondent) vs. Weatherly Securities Corporation, (Third Party Respondent) Case Number: 01-06568 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Thomas Giugliano ("Giugliano"), and Anthony Ottimo ("Ottimo"), hereinafter collectively referred to as "Claimants": Michael P. Gilmore, Esq., Sims M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: °f tb p f Iflfriant Pas? Number 01-06566 John E. Givens Salomon Smith Barney, Inc., and William W. Gouldin ir^g Sitf!' Houston, Texas Claimant, John E. Givens, hereinafter referred to as "Claimant": Michael C. Falick, Esq., of Rothfelder & Falick, L.L.P., located in Houston Texas. Respondents Salomon Smith Barney ("SSB.") and William W. Gouldin ("Gouldin"), hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Angela Timm, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 01-06562 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Angela Timm, hereinafter referred to as "Claimant": William M. Murphy, Esq., Robinson Murphy & McDonald, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "R

NASD Dispute Resolution Arhilrfltmn Mn Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Banca Arner S. A. (Claimant) vs. Bear Steams & Co., Inc. (Respondent) Case Number: 01-06558 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Banca Amer S. A., hereinafter referred to as "Claimant": Thomas A. Butler, Esq., Butler, Fitzgerald & Potter, New York, NY. Respondent, Bear Stearns & Co.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Vedro, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 01-06548 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert Talbot University San Francisco School Of Law San Francisco, California For Respondent: Keith Guilfoyle, Esq. Morgan Stanley DW Inc. New York, New York C

NASD Dispute Resolution Arbitration No. 01-06544 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 01-06544 Thomas Giugliano Anthony Ottimo Names of the Respondents: Hearing Site: New York, Hurson Belizaire New York Weatherly Securities Corporation REPRESENTATION OF PARTIES Claimants, Thomas Giugliano ("Giugliano") and Anthony Ottimo ("Ottimo") hereinafter