Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06401 Melba Jones Name of the Respondent Hearing Site: Little Rock, Arkansas Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Melba Jones, hereinafter referred to as "Claimant": Donald L. Kneipp, Esq., Office of Donald L. Kneipp, Monroe, Louisiana. For Merrill Lynch,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06393 Larry L. and Linda K. Boevers, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Larry L. and Linda K. Boevers (collectively "Claimants") appeared Kathleen P. Toolan, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James A. Mitarotonda, Claimant v. Herbert Coulee and Lorine Coutee, Respondents Case Number: 03-06390 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Stuart A. Jackson, Esq. Re, Parser & Partners New York, New York For Respondents: Robert A. Uhl, Esq. Law Offices of Aidikoff &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Arcuri (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Gary M. Grzybowski, Donald Minor, and Brad Smithy (Respondents) Case Number: 03-06389 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Kathleen Arcuri ("Arcuri") hereinafter referred to as "Claimant" appeared pro se, Roc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jack Eldridge and Gladys J. Eldridge, co-trustees of the Eldridge Family Living Trust and Case Number: 03-06385 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc., and Michael Conrad Ihrie NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06375 Estate of Vernon A. Davis Vernon Albert Davis Revocable Living Trust Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated n/k/a Prudential Equity Group, LLC Andrew M. Romer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Vernon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Max Marcus, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Quinton H. Ellis, Jr., and Martin A. Mayer, Jr., Respondents Case Number: 03-06373 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For R

NASD DISPUTE R^OLUTION AWARD JSFASP DISPUTE ffiSOLUnQN CASE: 03-06570 Edward and < 3»l Hewitt OTT, dauaants v. Lincoln Financial Advisor* Corporation and Gary P. SaJva, Respondents. ATTORNEYS: Claimants, Edward and Gail Hewitt INT, ("Claimants"), appeared pro se, RockfaH, CT. Respondents, collectively koown as For Respondent, Lincoln Financial Advisors Corporation, CUneoln"), appeared Heather V. Taylor, of McCarter & English, UUP, Newark, NL For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06367 Priscilla S. Rudomanski (Acct 25519) and Priscilla S. Rudomanski (Acct 35722), Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Priscilla S. Rudomanski (Acct 25519) and Priscilla S. Rudomanski (Acct 35722), ("Claimant"), appeared Win. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01676 UBS/Paine Webber Incorporated, claimant vs. Daren Elliot, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., in-house counsel, Park Ridge, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: April 4, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay a debit balance in his account after he failed to meet a margin call and his