Award NASD Dispute Resolution In the Matter of the Arbitration Between: Debra and James Knick, Gregory Peterson, James Knick and Shelby Knick, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-04494 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Tracy Pride Stoneman, Esq. Tracy Pride Stoneman, P.C. Westciiffe, Colorado For Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Margaret A. Meyer vs 03-04493 Chicago, Illinois Name of Respondents Linsco Private Ledger Corp., and Terry L. Gourley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret A. Meyer, ("Claimant"), was represented by Andrew J. Stoltmann, Esq., Maddox Hargett & Caruso, P.C. Chicago, Illinois. Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04492 Salomon Grey Financial Corporation, Claimant v. James Reid, Respondent. ATTORNEYS: For Claimant, Salomon Grey Financial Corporation, ("Claimant"), appeared in-house counsel Belinda Goss, Dallas, TX. Respondent, James Reid, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 20, 2003 CASE SUMMARY: Claimant al

Stipulated Award NASD Dispute Resolution ARBITRATION BEFORE THE NASD DISPUTE RESOLUTION, INC. ELGIN W. WARE and KAREN G. WARE, § § Claimants, § § vs. § NASD# 03-04490 § § § § § Claimants Elgin W. Ware and Karen G. Ware, hereinafter referred to as "Claimants," were represented by Jeanne Crandall, Esq. Reyna Hinds & Crandail, 1201 Elm Street, Suite 3850, Dallas, Texas 75270-2199. Respondents Merrill Lynch, Pierce, Fenne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard Barshack, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 03-04482 Hearing Site: Salt Lake City, Utah Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: James R. Laski, Esq., Lawson & Laski, PLLC Ketchum, Idaho For Respondent: John Bersin, Esq. E*Trade Securities LLC Rancho Cordova, California CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04481 Erna D. Grundman and Joanne M. Gnindman JTWRQS, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc. and Thomas L. Dwyer, Respondents. ATTORNEYS; Claimants, Erna D. Grundman and Joanne M. Grundman JTWROS, ("Claimants"), appeared pro se, Carson City, NV. Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Thomas L. Dwyer, ("Respondents"), appeared through their in-house cou

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04479 Ann Elisabeth Tomasell, Claimant vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., A.G. Edwards & Sons, Inc., Martha Siefinan, and Steven Thompson, Respondents ATTORNEYS: Claimant Ann Elisabeth Tomasell ("Claimant") appeared pro se, Troy, MI. For Respondents Citigroup Global Markets, Inc. and Martha Siefinan appeared Ann Parry, Esq., in-house counsel, Citigroup Globa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04478 Jean and Judith Fleischer, Claimants vs. Citigroup Global Markets, Inc, f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimants, Jean and Judith Fleischer, ("Claimants"), appeared pro se, Sunrise, FL. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., appeared through their in-house counsel, Ann Parry, Esq., New York, NY. NATURE OF DISPUTE: Custom

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian Krauss, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and James H. Bais, Respondents Case Number: 01-01466 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant: Michael Rodriguez, Esq. , Rodriguez & Ricci Ridgewood, New Jersey For Respondents: Daren A. Lurna, Esq. Merrill Lynch Pierce Fenner & Smith Inc. New Y

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04477 Louis and Esther Bernstein, Claimants v. J.P. Morgan Invest LLC f/k/a Brown & Co., Inc., Respondent. ATTORNEYS: Claimants, Louis and Esther Bernstein, ("Claimants"), appeared pro se, La Vegas, NV. Respondent, J.P. Morgan Invest LLC f/k/a Brown & Co., Inc., ("Respondent") appeared through its Chief Compliance Officer, Thomas Hollenbeck, Boston, MA. NATURE OF DISPUTE: Customer v. Mem