NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01707 Charles Schwab & Co., Inc., claimant vs. Eve E. Mezey, respondent. ATTORNEYS: For Claimant Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: April 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in her account after a margin call was made. Claim Data C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Michael, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Paul Padovani, Respondents Case Number: 03-09084 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, California For Respondent Merrill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emmert A, Larkin Company, Inc. (Claimant) v. Anthony Girellini (Respondent) v. Michael Warner (Third-Party Respondent) Case Number: 03-09083 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person (Initial Claim). Associated Person v. Associated Person (Third-Party Claim). REPRESENTATION OF PARTIES Claimant Emmett A. Larkin Company, Inc. ("Emmett'')

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Phillip T. Hoffman Names of the Respondents Asset Management Securities Corp. James M. Barry Case Number: 03-09080 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant Phillip T. Hoffman, hereinafter referred to as "Claimant": John T. Getz, Esq., Law

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Randal M. Marchetti and 03-09079 Phoenix, Arizona Name of Respondents Signator Investors, Inc. Bennett E. Conklin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Randal M. Marchetti ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. Sign

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the. Plgi'mantR rasp.TvJnrnhfir 03-09078 Laura Spragins, Lance Spragins and Neill Spragins Morgan Stanley DW Inc. ng Sitf 1 ' Dallas, Texas gt r. Public Customer v. Member Firm Claimants Laura Spragins, Lance Spragins and Neill Spragins, hereinafter collectively referred to as "Claimants": John Brooks, Esq. of the Law Offices of Brooks & Campbell, LLP, loca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06599 Donald T. Wesson ERA, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: ~ ~ For Claimant Donald T. Wesson IRA ("Claimant") appeared Douglas H. Glicken, Esq., of the Law Offices of Douglas H. Glicken, P. A., Orlando, FL. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06590 Investacorp, Inc. Names of the Respondents FSC Securities Corporation Anthony Nettuno Christopher Nettuno J. Kenneth Nettuno Name of the Third Party Respondent Scott Henry Sherwood Name of the Counterclaimant Hearing Site: Atlanta, Georgia Nettuno & Associates, Inc. d/b/a Nettworth Nature of the Dispute: Member v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06587 Horace Butler Loretta Butler Names of the Respondents Hearing Site: New Orleans, LA Prudential Equity Group, Inc. Stanley Broussard Harris Bretall Sullivan & Smith LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Horace Butler and Loretta Butler, hereinafter collectively r

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lana E. Weeks and Name of Respondent Wachovia Securities, LLC Case Number: 03-06583 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Lana E. Weeks ("Claimant") was represented by Kurt Arbuckle, Esq., Kurt Arbuckle, P.C., Houston, Texas. Wachovia Securities, LLC ("Wachovia") was represented by