Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stamford Holding Company (Claimant) v. Merrill, Lynch, Pierce, Fenner & Smith, Inc., Maureen Clark, Christopher Plummer, and New England Equity, Inc. (Respondents) Case Number: 03-06876 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Stamford Holding Company ("Stamford"), hereinafter referred to as "Claimant": Rudolph

Award NASD Dispute Resolution,, Inc. In the Matter of the Arbitration Between: The Estate of Louise P. Bianco, by Executrix Nancy Schmitz; (Claimant) vs. Prudential Securities Inc., Michael C. Vanin, Beth Rosenberg-King, and Tonya McCarson, (Respondents) Case Number: 00-01488 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, The Estate of Louise P. Bianco, by Executrix Nancy Schmitz, hereinafter referred to as "Claimant": Brian H. Rei

NA-Sn. AWARD NATIONAL A.< Mnf^ATTnN OF SRnfJ^^^mS DRAf PB.q IMP In tbe matter i)f the Aifoitndon Between Nam^ftfrininiiiitf AUKionursi vs. NASD Arbitntkm No.95-02375 Nlimftftflt< «pnndgiit Vanguard Discount Brokerage Services mCTyPBOTNTATOTN For Ciaimam: All Kiumaxsi, Los Angeles, California For Respondent: Richard J. McHale. Vanguard Discount Brokerage Services, Valley Forge, Pennsylvania rASRTNWnWMATTON Statement of Claim

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between CliftYird Schwartz 9S-OI378 Name nf Respondents Hanover, .Sterling & Tompany. Ltd. David Macia-s Mark Antanucci Lowell ('. Schatzer Jn.seph Eldacastro Frank Calimann Thom«^s La Rosa Shannon Johnson Rnbert Knapp Edward Cohan William Giordano Jnhn Paul Devito REPRESEVTATIQN For Claimant CiifTord Schwaru ("Schwfirtz") ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUBTTIES DEAUSS In dm Matter of the Arbitntion Betwelm NMneofCldmantfa^ Alexandm Toubolets 95-05400 M. Rimson & Co., Inc. Robert J. Judge DanDiectrich Glen Bennett For Qaimam Alexandre Toubolets ("Cldmant") appeared Jeffrey B. Mdcer, Esq. of Rou, Sudioff, Egert. Hankm A Maidenbaum, P.C. located in New York, N.Y. Rmpondents M. Rhnson ft Co., IncCM. Rimson*), Robert J. Judge ("Judge") and Dan Diettrich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Charles F. Prendergast and Gretchen C. Prendergast Name of the Respondents Joel M. Funderburk, Jr. and John B. Hart Case Number: 03-06874 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Charles F, Prendergast and Gretchen C. Prendergast, hereinaft

N.A.S.D. REGULATION AWARD NATIONAL ASS0CIATI(»4 OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Nameofaaimant Olivia Monow 95-02351 Name of Respondent Intemate/Johnson Lane REPRESENTATION Claimant Olivia Morrow ("Claimant") was represented by F. Christian DiRusso, Esq., Donnelly &. DiRusso, Mount Airy, NC. Respondent Interstate/Johnson Lane. Inc. ("Respondent") was represented l^ Pamela P. Wamement, Deputy General Co

AWARD NASD Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Julieta White vs. CaseNumt)er 06-01931 Hearing Site: Houston, Texas Names of Respondents Chase Investment Services Corporation and Chase Securities of Texas. Inc. n/lc/a J.P. Morgan Securities, Inc. lUATUREQFTHEDiaPUTE Customer vs. Members REPRESEWTATtOM OF PARTIES Julieta White ("Claimant" or "White") was represented by Russell Dean Claris, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mary Cathleen Inorio and 03-06872 Phoenix, Arizona Name of Respondents Davis Distributors, LLC Peter D. Schaffer Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Mary Cathleen Inorio ("Claimant") was represented by Mary Judge Ryan, Esq., Ryan Turchick, PC, Phoenix, Arizona. Davis Distributors

- - Stipulated Award T NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pase 'Mnmher 03-06871 Zelma B. Savage Names of the Respondents Hearing Site- Raleigh, North Carolina Merrill Lynch, Pierce, Fenner and Smith, Inc. and Allison Reid Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Zelma B. Savage ("Savage"), hereinafter referred to as "Claimant", was rep