Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pase Number- 03-04409 Newman W. Benson, Individually and Newman W. Benson TTEE U/A 12/29/94 by Benson Irrevocable Trust Names of the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Donna M. Dilanni Nature of the Dispute: Customers vs. Member and Associated Person RF.PRF.SF.NTATTON OF PARTIES Cla

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Charles C. Staples Margaret D. Staples Case Number: 03-04408 Name of the Respondents: Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark S. Rodman Hearing Site: Richmond, Virginia Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Charles C. Staples and Margaret D. Staples, herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ralph Goodman and Anni Goodman Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-04401 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ralph Goodman and Anni Goodman, hereinafter collectively referred to as "Claimants": Wm. Jemison Mims, Jr., Esq., Levi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04399 Sarah L. Groth Names of the Respondents Hearing Site: New Orleans, Louisiana Dain Rauscher, Incorporated "Carl" Lambert UBS PaineWebber, Inc. Nature of the Dispute: Customer ^s. Member -nd Associated Person. REPRESENTATION OF PARTIES For Sarah L. Groth, hereinafter referred to as "Claimant": Donald L. Kneipp, Esq., Monroe, Louis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Morgan Securities of Texas, Inc. (f/k/a Chase Securities of Texas, Inc.), Chase Investment Services Corp., Wells Fargo Brokerage Services, LLC and Wells Fargo Investments and Cesar Roel Perez, Claimants, vs. Antonio Figueroa Rea, Maria Luz Segura Lopez, Jose Carmen Garcia Mancera, Maria Luisa Soto Nieto, Pedro Martinez Sanchez, Maria Rosario Veladez Chavez, Victor Ramirez L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rukmini Kanna, Venkanna Kanna and The Kanna Family Limited Partnership (Claimants) vs. McDonald Investments, and Jason Wireman (Respondents) vs. Hilliard Lyons (Third-Party Respondent) Case Number: 03-04393 Hearing Site: Columbus, Ohio Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Person. Third-Party Claim: Member and Associated Person vs. Member. REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Great Eastern Securities, Inc. (Claimant) v. America's Hedge Fund, John Daniel Minerva, Joseph Frank Pappalardo, Jr., and Ronald James Turner (Respondents) Case Number: 03-04391 Hearing Site: New York, New York Nature of the Dispute: Member vs. Non-Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Great Eastern Securities, Inc. ("GES") hereinafter referred to as "Cla

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marion C. Bruzina and Names of Respondents Washington Square Securities, Inc., The Tilchen Corporation, and Alan S. Tilchen Case Number: 03-04375 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Marion C. Bruzina ("Claimant") was represented by Laurence

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Benito Abad, Sr., (Respondent) Case Number: 01-01461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant First Union Securities, Inc. ("Claimant"): Renan I. Sugarman, Esq., Senior Vice President and Assistant General Counsel for First Union Securities, Inc., Chicago, Illinois. Mr. Sugarman did not attend the hearing

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joyce A. Jackson vs. 03-04374 Louisville, Kentucky Respondents Raymond, James & Associates, Inc., Raymond James Financial Services, Inc., and John A. Casconi Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Joyce A. Jackson ("Claimant") was represented by Carolyn K. Ballesien, Esq., Tilford Dobbins Alexander