Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Case Number: 01-06043 Carlton and Catherine Sumners ff nf the Respondents Hearing Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Ronald L. Blackburn REPRESENTATION OF PARTIES Claimants Carlton and Catherine Sumners, hereinafter collectively referred to as "Claimants", were represented by Nicholas Guiliano, Esq., Attorney at Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Wissner Revocable Trust vs. Wells Fargo Securities, Inc. and Michael Pepper Case Number: 01-06040 Hearing Site: Los Angeles, California REPRESENTATION QFPARUES For Claimant: Peter A. Wissner Revocable Trust For Respondents: Wells Fargo Securities Inc. Michael A. Pepper Frederick H. Stern, Esq. Law Offices of Frederick H. Stern Encino, CA Robe

Award NASD In the Matter of the Arbitration Between: Name of the Claimant J.P. Turner & Co., LLC Names of the Respondents Daniel and Valerie Hicks Case Number: 01-06038 Hearing Site: Atlanta, Georgia For J.P. Turner & Co., LLC, hereinafter referred to as "Claimant": Andrew J. Kohler, Esq. and John T. McGuire, Esq., John T. McGuire, P.C., New York, New York. For Daniel and Valerie Hicks, hereinafter referred to as "Respondents": Daniel Hicks.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: *"1airnants Oisf N^m^fir' 01-06035 Vladimir Juckovich and Lillie Juckovich Nam? Morgan Stanley Dean Witter, Inc., and Kenneth Favata HearingJSite: Chicago, Illinois OF Claimants Vladimir Juckovich and Lillie Juckovich hereinafter collectively referred to as "Claimants": Andrew B. David, Esq. of Sugar, Friedberg & Felsenthal located in Chicago, IL. Respondents Morgan Stan

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-06034 Morgan Keegan & Company, Inc. Name of Respondent Hearing Site: Tampa, Florida Bill Hyde REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc. ("Claimant"): J.P. Brizzolara, Assistant General Counsel for Claimant, Memphis, Tennessee. Bill Hyde ("Respondent") appeared pro se. CASE INFORMATION Statement of Claim filed on or about: November 6, 2

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06029 Torrey Pines Securities, Inc., claimant vs. Darren Caris, respondent. ATTORNEYS: Claimant appeared through its President, Jack C. Smith, San Diego, CA. Respondent appeared pro se, San Diego, CA. DATE FILED: November 9, 2001 CASE SUMMARY: Claimant alleged that respondent violated NASD Marketplace Rule 4613(e) and its own written supervisory procedure that relates to Locked and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan E. Goss and Marilyn L. Hayes, Claimants, and David Huckin and Associates Inc. and Nationwide Investment Services, Corp., Respondents. Case Number: 00-01619 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants Susan E. Goss ("Goss**) and Marilyn L. Hayes ("Hayes 1 ) hereinafter ^r. M collectively referred as "Claimants: Kalju Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ralph K. Bloomer, Ralph K. Bloomer IRA Bear Stearns Sec Corp Gust, and Ralph K. Bloomer Roth IRA Bear Stearns Sec Corp Cust o thg Josephthal & Co., Inc. and MarkG.Platt i" 01-06025 ing ftite- Dallas, Texas Claimant Ralph K. Bloomer ("Bloomer"), Ralph K. Bloomer IRA Bear Stearns Sec Corp Cust, and Ralph K. Bloomer Roth IRA Bear Stearns Sec Corp Cust, hereinafter colle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06022 F. Marshall Tobin, claimant vs. Nationwide Investment Services Corporation, respondent. ATTORNEYS: Claimant appeared pro se, Andover, NY. For Respondent appeared James G. Petrie, Esq. of the firm Bricker & Eckler LLP, Columbus, OH. DATE FILED: November 9, 2001 CASE SUMMARY: Claimant alleged that respondent invested his deferred compensation into funds that were unsuitable

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-06013 Martha L. Gwynn Names of Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Allan G. Thiessen Name of Third Party Respondent W. GradyHuie REPRESENTATION OF PARTIES For Martha L. Gwynn, hereinafter referred to as "Claimant": Michael S. Taaffe, Esq., Abel, Band, Russell, Collier, Pitchf