STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Theodore Schroeder and Margaret Schroeder and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Gerald J. Hoskins, Sr., James S. Favors, and Peter N. DiMercurio Case Number: 03-06868 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES ,', Theodore Schroeder and Margar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kenneth Holtgrave and Marsha Holtgrave and 03-06867 Chicago, Illinois Name of Respondents Merrill Lynch, Fenner & Smith Inc. and Steven Heil Nature of the Dispute: Customer vs. Member and Associated Person: REPRESENTATION OF PARTIES Kenneth Holtgrave and Marsha Holtgrave, ("Claimants"), were represented by Andrew Stoltmann, Esq., of Maddox Harget

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06859 Peter Fayerman Don Raab Names of the Respondents Hearing Site: Boca Raton, FL Herbert J. Sims & Co., Inc. Alan Z. Appelbaum William B. Sims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Fayerman ("Fayerman") and Don Raab ("Raab"), hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06859 Peter Fayerman Don Raab Names of the Respondents Hearing Site: Boca Raton, FL Herbert J. Sims & Co., Inc. Alan Z. Appelbaum William B.Sims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Fayerman ("Fayerman") and Don Raab ("Raab"), hereinafter referred to as "Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06858 American Express Financial Advisors, Inc., Claimant v. Marie Pham, Respondent. ATTORNEYS: ~~ ~~~ Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through its Collection Manager, Michael Northrop, Minneapolis, MN. Respondent, Marie Pham, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer DATE FILED: September 22, 2

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants John and Bernadette Scollard, John Scollard, Custodian and f/b/o, Erin Scollard, Ashely Scollard and Brett Scollard Case Number: 03-06857 Name of Respondents Merrill Lynch Pierce Fanner & Smith Inc., and Joseph Ranos Hearing Site: Chicago, Illinois TYPE OF CONTROVERSY Customers v. Member Firm and Associated Person REPRESENTATION O

In the Matter of the Arbitration Between: Jarmey Montgomery Scott LLC (Claimant) vs. Jeffrey M. Schonsky, (Respondent) Case Number: 00-01485 Hearing Site: New York, New York REPRESENT ATIOiN OF PARTIES Claimant, Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Marci A. Love, Esq., Saul Ewing LLP, Philadelphia, PA. Respondent, Jeffrey M. Schonsky, hereinafter referred to as "Respondent": Louis A. Craco, Esq., Allegaert Berger & Vogel LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. Case No. 00-00156 Name of Respondent David Eugene Gray REPRESENTATION OF PARTIES For PaineWebber, Inc., ("PaineWebber") hereinafter referred to as "Claimant": Lisa Catalano, Esq. of the Law Offices of Joel Davidson, New York, New York. David Gray, ("Gray") hereinafter referred to as "Respondent" appeared pro se. CASE INFORMATI

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Donald and Marilyn Hooper vs. 03-06856 Omaha, Nebraska Respondents Freedom Financial, Inc., Heartland Financial Group, LLC, Carl Vemon Wyllie, and Jerry A. Dickinson Nature of the Dispute: Customers vs. Terminated Member Firm, Non-Member Firm and Associated Persons REPRESENTATION OF PARTIES Donald and Marilyn Hooper ("Claimants") were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diane Vernette Linthicum TTEE for The Magnolia Living Trust, Claimant v. Torrey Pines Securities, Inc. and William F. Gunderson, Respondents Case Number: 03-06850 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Arthur S. Leider Investors Arbitration Specialist