Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Loney Family Trust "W", The Loney Family Trust "H", Claimants v. Steve Ruhland, Lisa Sharp, and Charles Schwab and Co., Inc., Respondents Case Number: 03-04941 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. The Law Offices of Jeff Dennis Ferentz, In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Cavallo, Claimant v. Morgan Stanley DW Inc. and Lesley R. Lederer, Respondents Case Number: 03-04939 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Brian L. Zagon, Esq. Resolution Law Group P.C. Lafayette, California Richard L. Ja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roderick F. Guinn, individually and as beneficial owner of the Roderick F. Guinn IRA Rollover Account, Claimant v. Patricia Meidell, Associated Securities Corp., and Associated Planners Investment Advisory, Inc., Respondents Case Number: 03-04937 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Yannias, . Case Number:- 03-04935 Claimant; v. . . . Hearing Site: Chicago, Illinois Merrill Lynch, Pierce, Fenner & Smith, Inc. and Steven LaPorta, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and AssociatedPerson REPRESENTATION OF PARTIES Dean Yannias, ("Yannias"), hereinafter referred to as "Claimant": Jeffrey M. Gershon, Esq. of

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ronald Barrens and Carmen Barrons and Names of Respondents Leonard & Company, Lawrence Edward Bullock and John Michael Fluetsch Case Number: 03-04932 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Ronald Barrons and Carmen Barrons ("Claimants") were represented b

I I Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Aufderhar (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Jonathan D. Eskridge (Respondents) Case Number: 03-04928 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joan Aufderhar ("Aufderhar") hereinafter referred to as "Claimant": George L. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04924 Frank Leatherwood i Names of the Respondents Hearing Site: Memphis, TN A.G. Edwards & Sons, Inc. KelleySims Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frank Leatherwood, hereinafter referred to as "Claimant": Saul C. Belz, Esq. and Jeremy G. Alpert, Esq., Glankler Brown, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Cohen, Individually, and the Harry Cohen Trust, Harry Cohen and Cynthia Alba, Co-Trustees (Claimants) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc. and John T. Day (Respondents) Case Number: 03-04923 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harry Cohen, Ind

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Jeffries (Claimant) v. John Hancock Financial Services, Inc., Signator Financial Services, Inc., Signator Insurance Agency, Inc., Signator Investors, Inc., John Hancock Life Insurance Company, John Hancock Variable Life Insurance Company, Hancock Partners Insurance Agency, Hancock Partners Insurance General Partnership, LLP, Jeremiah R. Healey, Jr., Grant David Ward, and Robert

Award NASDDispute Resolution In the Matter of the Arbitration Between: Name nftVie Claimant P.n^ftNnmhpr- 01-01514 Kenneth T. Show 15 Sits- Pittsburgh, Pennsylvania Joseph M. Morgan and First Union Securities, Inc. RPPRF.SFNTATrOM OF PARTIES Claimant Kenneth T. Show, hereinafter referred to as "Claimant", was represented by William T. Jorden, Law Offices of Jorden and White, Meadville, Pennsylvania. Respondents Joseph M. Morgan ("Morgan") an