Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration -Between: Michele Peterson as Administratrix of the Estate of Doris Gagne, and Trustee of the Gagne Family Trust, Doris Gagne Trust, and the A.G. Bolton Limited Partnership Trust (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jill M. Packard and Maureen C. Keating (Respondents) Case Number: 03-05557 Hearing Site: New York, New York Nature of the Dispute: Customers v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants W. James Clees and Elsie L. Clees Names Nnmher- 03-05555 Site: Charlotte, North Carolina Morgan Stanley DW, Inc., Kevin S. Baltimore, and Karl H. Ruppert Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRFSFNTATTDN OF PARTTRS Claimants W. James Clees and Elsie L. Clees, hereinafter collectively referred to as "Claimants,"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nfthe Claimants Case Number 03-05554 Deward Smith Lorene Smith Names nf the Respondents Ttomn£ Sift*: Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Louis Reid, Jr. Alison Garrett Reid Nicholas-Applegate Capital Management, LLC Nature of the Dispute: Customers v. Member, Non-Member and Associated Persons, , i RFPRKSF.NTATTON OF PARTIES C

Award NASD Dispute Resolution In the Matter of the Arbitration Between:, Pimm ant rng^'NJiimhflr 03-05552 Cindi Ettinger nf thft T? ftgpnnHflnta Hftflring Sitiv Philadelphia, PA GKN Securites Corp. Robert J. Nosel Phih'p A. Gibson Shochet Securities, Inc. Bluestone Capital Corp. Sands Brothers & Co., Ltd. Nature of the Dispute: Customer vs. Member, Terminated Members and Associated Persons. HF.PRff,SirNTATTf>N Claimant, Cindi Ett

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven D. Brockinton and Gina D. Brockinton Names of the Respondents Salomon Smith Barney and David Michael Harris Case .Number: 03-05547 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven D. Brockinton and Gina D. Brockinton, hereinafter collectively re

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norman H. Leslie and Robert A. Leslie and 01-01593 Minneapolis, Minnesota Name of Respondents Auerbach, Pollack & Richardson Inc. Michael Terzo REPRESENTATION OF PARTIES Norman H. Leslie and Robert A. Leslie ("Claimants") were represented by Sidney J. Spaeth, Esq., Vogel Law Firm, Fargo, North Dakota. Auerbach, Pollack & Richardson Inc. ("Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joaquin Mosquera Names of the Respondents Transamerica Financial Advisors, Inc. Ramiro Rodriguez Case Number: 03-05544 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joaquin Mosquera, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., Law Offic

Award NASD Dispute Resolution In the Matter of the Arbitration Between; nf fhf* rifljfpjmt Pag^ "Mnmhpr- 03-05543 Janet L. Mariani ' Dallas, Texas Morgan Stanley DW Inc.; Edward W. Butowsky; and, Bane of America Securities, LLC NATTTPF OT7 TTTff T1TSPTTTF. Public Customer v. Member Firms and an Associated Person Claimant Janet L. Mariani, hereinafter referred to as "Claimant"; Robert L. Wright, Esq., of the firm of Wright & Berry LLP, lo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant George M. McKay and Names of Respondents Merrill Lynch Pierce Fenner & Smith Inc., and Janet Zaloga Case Number: 03-05542 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES George M. McKay ("Claimant") was represented by Gary M. Saretsky, Esq., Hertz, Schram & Sarets

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Pasner, Claimant v. Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Dustin J. Briquelet, Respondents Case Number: 03-05537 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, California