NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07525 Jack and Shirley Futterman JTWROS, Claimants v. Merrill Lynch Pierce Feiujer & Smith, Inc. and Paul Tuchxnan, Respondents. ATTORNEYS: ~~~ Claimants, Jack and Shirley Futterman JTWROS, ("Claimants"), appeared pro se> Levittown, NY, Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Paul Tuchman, ("Respondents"), appeared through their in-house counsel, Yosef Sinensky, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - / v ":>.'.• Name of the Claimant Case Number: 03-07522 David Weinberger I Name of the Respondent Hearing Site: Boca Raton, Florida Joseph Dillon & Company, Inc. i i ' Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David Weinberger ("Weinberger"), hereinafter referred to as "Claimant": Scott Wassmuth, Esq.,, Finkelstei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant Pagp Nnmhpi- • 03-07517 Henry Wayne Sovey RpgprmHpnts Hearing Sitfv Dallas, Texas Edward D. Jones & Co. and John W. Ashby Public Customer v. Member Firm and Associated Person Claimant Henry Wayne Sovey, hereinafter referred to as ''Claimant": David Tekell, Esq., of the firm Tekell & Tekell, P.C., located in Waco, Texas. Respondents Edward D. Jones & Co. ("Jones"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Ann Lockwood, Claimant v. Wells Fargo Investments, LLC and Richard Paul Umanzio, Respondents Case Number: 03-07498 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California For Respondents: Robert

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07496 Erwin and Meredith Danieison Rev. Trust, Erwin D. Danielson and Meredith N. Danielson, Trustees, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Erwin and Meredith Danielson Rev, Trust, Erwin D. Danielson and Meredith N. Danielson, Trustees ("Claimant") appeared Douglas H. Glicken, Esq., of The Law Off

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adolph Komorsky Investments, Inc., (Claimant) vs. Robert Amadio, (Respondent) vs. Marc Komorsky, Peter Adolph and Anne Troyer, (Third Party Respondents) Case Number: 00 01542 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Adolph Komorsky Investments, Inc., hereinafter referred to as "Claimant": Richard A. Roth, Esq., Littman Krooks Roth & Ball P.C., New Y

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rita Schick and Frank Schick, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., David Lerner Associates, Inc., James Math, Tony Meere, Martin Walcoe, David Lerner, Daniel Chafetz, and Edward Sheil, (Respondents) Case Number: 00-00175 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Rita Schick ("R. Schick") and Frank Schick ("F. Schick"), herein

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean D'Onofrio, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 03-07490 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: in propna persona San Francisco, California Stephen Lau, Esq. Kenneth C. Mennemeier, Esq. Mennemeier, Glassman & Str

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07488 Gerald P. Richard Names of the Respondents Hearing Site: New Orleans, LA NYLife Securities, Inc. John Steven Blount Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gerald P. Richard, hereinafter referred to as "Claimant": Randall A. Smith, Esq., Smith & Fawer, L.L.C., New Orleans,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07483 Florence H. Bohen & Morris Bohen Trustees Florence H. Bohen Revocable Trust and Morris Bohen & Florence H. Bohen Trustees Morris Bohen Revocable Trust, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents. ATTORNEYS: For Claimants, Florence H. Bohen & Morris Bohen Trustees Florence H. Bohen Revocable Trust and Morris Bohen & Flor