NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kentucky Education Association and ^ys>-l.^%-^ Name of Respondents RAF Financial Corporation, Citizen's Bank & Trust Co., and Peter Isakovich RTCPRFSENTATTON OF PARTIES • Kentucky Education Association ("Claimant") was represented by Philip A. Brown, esq., of Vorys, Safer, Seymour and Pease LLP, Columbus,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riai'mants Case. Number: 01 -061 1 1 Steven R. Meheen, Individually and on behalf of his IRA, Michelle R. Meheen, John Bryce Donaldson, Individually and on behalf of his IRA, and Sumanohar Muddusetti, Individually and on behalf of his IRA, nf the. Kespnndents Hearing .Site: Houston, Texas U.S. Bancorp Piper Jaffray and Ron D. Thomas KF.PttF.pF.NT A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stan Schuldiner, (Claimant) vs. Harris InvestorLine, Inc., (Respondent) Case Number: 01-06107 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Stan Schuldiner, hereinafter referred to as "Claimant", appeared pro se. Respondent, Harris InvestorLine, Inc., hereinafter referred to as "Respondent": Michael Unger, Esq., Rubin and Rudman LLP, Boston, MA. Previously

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cl a imflnt Mary Joyce Baldwin n" 01-06106 o he Cleo W. Holder; Charter Financial Group; and First Securities Network Corporation Hearing Site- Indianapolis, Indiana Claimant Mary Joyce Baldwin ("Baldwin") was represented by John R. Price, Esq., of John R. Price and Associates, located in Indianapolis, Indiana. Respondents Cleo W, Holder ("Holder"), C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. \ CASE: 01-06103 Alayne M. Tribolet, claimant vs. Scottrade, Inc. a/k/a Scottrade Financial Services, Inc. , respondent. ATTORNEYS: For Claimant appeared Oti Nwosu, Esq., of The Wright Law Network, Washington, B.C. For Respondent appeared in-house counsel, Christopher Meitz, Esq., St. Louis, MO. BATE FILEB: November 13, 2001 CASE SUMMARY: Claimant alleged that respondent purchased 48 sh

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01625 Barbara E. Hawk, Claimant vs. PaineWebber Incorporated and Daniel L. Mullins, Respondents. ATTORNEYS: Claimant appeared Pro Se, Arvada, CO. For Respondent, PaineWebber Incorporated, appeared in-house counsel, Karen M. Garcia, Esq., Weehawken, NJ. For Respondent, Daniel L. Mullins, appeared Rodney K. Vincent, Esq., Lincoln, NE. DATE FILED: April 10, 2000. CASE SUMMARY: Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert J. Brennan v. 01-06102 Denver, Colorado Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. REPRESENTATION OF PARTIES Robert J. Brennan ("Claimant") was represented by Mark J. Appleton, Esq., of Robinson Waters & O'Dorisio, P.C., Denver, Colorado. Merrill Lynch, Pierce, Fenner & Smith Inc. ("Respondent") was represented by Steven D. Bell, Esq., o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia House, Claimant v. TD Wateihouse Investor Services^ Inc. and Al Di Pippo, Respondents Case Number: 01-06101 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Patricia House Saratoga, California For Respondents: Cara L. Meredith, Esq. Keesal, Young & Logan San Francisco, California CASE INFORMATION Statement of Claim filed on or

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06100 Margaret W. Guilian, claimant vs. 1st Discount Brokerage, Inc., respondent. ATTORNEYS: For Claimant appeared Adam S. Doner, Esq., from the firm Gordon & Doner, P.A., Palm Beach Gardens, FL. For Respondent appeared Rusty G. Johnson, Chief Compliance Officer, West Palm Beach, FL. DATE FILED: November 13, 2001 CASE SUMMARY: Claimant alleged that respondent made unsuitable invest

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Benjamin Ritter, Trustee U/A DTD 6/15/92 Benjamin Ritter Trust Names of the Respondents Morgan Stanley Dean Witter, Inc. and Paul Mirabella Case Number: 01-06091 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Benjamin Ritter, Trustee U/A DTD 6/15/92 Benjamin Ritter Trust, hereinafter referred to as "Claimant": Russ