NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06723 Ruby G. Sokol, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Ruby G. Sokol ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan M. Wolper, Esq., of the firm Sutherland

r i 4 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Matthew L. Oliver and 03-06716 Dallas, Texas Name of Respondents Murphy & Durieu Daniel S. Rosado Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Matthew L. Oliver ("Claimant") was represented by Steven E. Aldous, Esq., Braden, Varner & Aldous, P.C., Dallas, Texas. Murphy & Durieu (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06715 American Express Financial Advisors, Inc., Claimant v. David L. Darnold, IRA, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through their manager, Michael Northrop, Minneapolis, MN, Respondent, David L. Darnold, IRA, ("Respondent"), did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Customer DATE FILED: Sept

Award NASD IMspute Resolution In the Matter oi the Aibitration Between: Name of the ClaimaiU Case Number: 02-00740 Nelson C. Haller Revocable Living Trust Nelson C. Haller IRA Nelson C. Haller Names of the Respondents Hearing Site: Tan^a, Florida Dean Witter Reynolds, Inc. doing business as Morgan Stanley Dean Witter Nicholas Dukas Jack C. Fawcett REFRESENTA' For Nelson C. Haller Revocable Living Trust, Nelson C. Haller IRA and Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David F. Webster, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and David C. VanDyke, Respondents Case Number: 03-06705 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David F. Webster Redding, California For Respondents: Danielle J.M. Tarasen, Esq. Bingham McCutche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paula S. Kozlow and Herbert A. Kozlow, individually and jointly Names of the Respondents Daryn Pingleton Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-06704 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Paula S. Kozlow and Herbert A

6%/24/2004 16:39 FAX NASD REGULATION NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06694 Morgan Keegan & Co., Inc., Claimant v. Dan Wayne Mann, Respondent. ATTORNEYS: Claimant/Counterclaim Respondent, Morgan Keegan & Co., Inc., ("Claimant/Coiraterclaim Respondent"), appeared tnrough its in-house counsel, Shea O'Brien Hicks, Esq., Memphis, TN, Respondent/Counterclaim Claimant, Dan Wayne Mann, {"Respocdent/Counterclaim Claimant"), app

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Richard V. Souders, Trustee FBO Richard V. Souders Revocable Trust and Judy Souders v 03-06682 Denver, Colorado Respondents Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Rick A. Harrison and Richard A. Walsh Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Richard V. Souders

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Barbara K. Hopson and C. Terry MacKay v. 03-06681 Minneapolis, Minnesota Respondent/Third-Partv Claimant Merrill Lynch Pierce Fenner & Smith, Inc. v. Third-Party Respondent Sean Rooney Nature of Dispute: Customers v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Barbara K. Hopson and C. Terry MacKay ("Claimants") were represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Steven C. Tisor ) Case Number:- 03-06680 Claimant, ) v. ) Hearing Site: St. Louis, Missouri ) Wachovia Securities, LLC and ) Henry Llewellyn Chapman, ) Respodents. ) NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Steven C. Tisor, ("Tisor"), hereinafter referred to as "Claimant": Stuart R. Berk