Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03405 Robert Marzulli Names of the Respondents Hearing Site: Tampa, FL Bane of America Investment Services, Inc. John F. Bauder Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Marzulli, hereinafter referred to as "Claimant": James Richard Hooper, Esq., Hooper &

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 03-02926 Marguerite ffianovsky, Claimant vs. Royal Alliance Associates. Inc., and Kenneth Roberts, Respondents. ATTORNEYS: "'" For Claimant appeared Douglas S. Knehr, Esq.» MBA, Lawrtnccville, NX For Respondents appeared Jonathan C. Thau, Esq., of the firm Lubqja & Thau, LLP. New York, NY DATE FILED: : April 21, 2003 CASE SUMMARY: Claimant alleged that Respondents faile

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01391 Eugene Weiss Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc., Lynn Mumford Wagner, and Alan Oehrig Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Eugene Weiss ("Weiss"), hereinafter referred to as "Claimant": Scott

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Ben Silverman Dave Silverman Beverly Hilbert John lagnemma John Merlin Joseph D'Angeli Claimants vs. PaineWebber, Inc. Gary Brown Respondents CASE #88-02700 88-02701 88-02702 88-02703 CASE SUMMARY Claimants, Ben Silverman, Dave Silverman, Beverly Hilbert, John lagnemma, John Merlin and Joseph D'Angeli allege that Respondent,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) MARY F. COLBURN AND PATRICIA A. FORD, ) TRUSTEES FOR THE SARAH A. KEMME TRUSTS ) Claimants ) and ) ) CASE NO. 88-02696 RICHARD A. SARGENT, NEIDIGER, TUCKER, ) BRUNER, INC., AND A.P.S. FINANCIAL CORP. ) ) Respondents ) CASE SUMMARY A. Mary F. Col burn and Patricia A. Ford (Colburn and Ford are collectively referred to herein as "Claima

NATIONAL ASSOCIATION OF SECURITITS DEALERS, INC. In the Matter of the Arbitration Between J. VAUGHN WILSON AND EVELYNt WILSON Claimants ) and ) ) CASE NO. 88-02693 KIDDER, PEABODY AND COMPANY, INC. ) AND SUSAN TOMLINSON ) Respondents ) CASE SUMMARY Estate of J. Vaughn Wilson and Evelyne Wilson ("Claimants") alleged as follows: 1. Susan Tomlinson, a registered representative of Kidder, Peabody & Co., Inc. (Tomlinson and Kidder

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fred S. Cook. Judith Payne Cook, Carmen Margala. Neil Harlacher, Sandra Hariacher, and Marilyn Sherman, Claimants v. All-Tech Investment Group, Inc., Barry Parish, Southwest Securities, Inc. Mark D. Shefts, and Harvey I. Houtkin, Respondents Case Niimher 99-02325 Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents All-Tech investment Gr

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants William and Christine Bridgham Jonathan and Anissa Roy Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael C. Pearson Case Number: 03-01346 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimants, William and Christine

CORRECTED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John Ogrodnick, BettyAnne Ogrodnick, William C. Smith and Diane S. Smith and Case Number: 03-01255 Hearing Site: Troy, Michigan Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and David M. Barnett NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES John Ogro

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Wachovia Securities, Inc. v. 03-01182 Denver, Colorado Respondent/Counter-Claimant Jamie Engelking Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES Wachovia Securities, Inc. ("Claimant") was represented by William D. Nelson, Esq., of Rothgerber Johnson & Lyons, LLP, Denver, Colorado.