N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred H. & Theresa H. Schmale TTEE Co-Trustees of the Theresa H. Schmale Rev. Trust 95-00664 Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1995, Claimants Fred H. & Theresa H. Schmale, who appeared Pro Se, alleged that Respondent Charles Schwab & Co.,

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Aibitiation Between Name of Claimant Bemice Mills 94-05378 Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc Scott Griswold REPRESENTATION For Claimant Bemice Mills ("Mills"): Charles P. Randall, Esq., Boca Raton, Florida. For Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill"): David P. Ackerman, Esq. of the law firm of Ackerman, L

STIPULATED AWARD NASD Dispute Resolutioii In the Matter of the Arbitration Between riflTTYiantS Katherine Webster and Gary Webster Respondents Wells Fargo Securities, Inc., Wells Fargo Brokerage Services, LLC, Wells Fargo Investments, LLC, and Richard Mower 05-01297 Denver, Colorado NATTTRFOFPTSTOTE Customers v. Terminated Member, Member Finns and Associated Person HF.PRFSENTATTON OF PARTTFS Katherine Webster and Gary Webster ("Claima

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward C. Weihart and 03-06996 Phoenix, Arizona Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Edward C. Weihart ("Claimant") was represented by Wm. Jemison Minis, Jr., Esq., Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, Florida. Merri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barren Hill Investments, Ltd. (Claimant) v. Divine Capital Markets, LLC (Respondent) v. Avenue Advisors, LLC, Avenue Capital Management, LLC, Avenue Capital Management II, LLC, and Citigroup Global Markets, Inc. (Third-Party Respondents) Case Number: 03-06988 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member (Initial Claim). Member vs. Member and Non-Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: L. H. Ross & Company, Inc. (Claimant) v. Harrison Securities, Inc. and Jason Konior (Respondents) Case Number: 03-06987 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant L. H. Ross & Company, Inc. ("LH Ross") hereinafter referred to as "Claimant": Franklyn Michelin, L. H. Ross & Company, Inc., Boca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Troy Sowell Names of the Respondents UBS PaineWebber, Inc. Robert Gensel Case Number: 03-06986 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Troy Sowell, hereinafter referred to as "Claimant": J. Benton Stewart, II, Esq., The Stewart Law Group, P.L.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06981 Frank W. Wallace Names of the Respondents Hearing Site: Pittsburgh, PA Michael Condron, Morgan Stanley DW, Inc., and Citigroup Global Markets, Inc. Nature of Dispute: Customer v. Associated Person and Members REPRESENTATION OF PARTIES Claimant, Frank W. Wallace, hereinafter referred to as "Claimant", was represented b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Doukas Brady and Susan Doukas Brady and Robert Brady (Claimants) v. Ryan Beck & Co., Inc., Howard Brock, Gregory Gerard Kern, Theodore Evan Kagan, Ralph Hamilton Bradley, Jr., Rosemary Johnson, Robert Peter Rittereiser, Orange Stone, LLC, The 2000 Group, LLC, and The Home Insurance Company (Respondents) Case Number: 03-06973 Hearing Site: New York, New York Nature of the Dispu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06972 Peter Lancellotti Names of the Respondents Hearing Site: Memphis, Tennessee Salomon Smith Barney, Inc. Steve Golliher JeffGolliher Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Lancellotti, hereinafter referred to as "Claimant": Martin B. Bailey, Esq., Wagner, My