Award NASD Dispute Resolution In the Matter of the Arbitration Between: Golden Integrity Henry Blodge , Inc. (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and (Respondents) Case Number: 03-04291 Hearing Site: New York, NY Nature r-f the pispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Gol Gopstein, Esq Respondent M Fenster, Esq., Esq., Bressler den Integrity, Inc., her

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Linda Thomas Wololsey The Estate of lamps and Name of Respondents Raymond James Reginald Carr Rode: Fjnancial Services, Inc. TS, Jr. as Personal Representative for L. Thomas 03-04284 Nashville, Tennessee Nature of the Dispute: Customer vs. Member and Associated Person The Estate of Jam Offices of Paul W. REPRESENTATION OF P

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Donald and Lila Alpin and Names of Respondents Sigma Financial Corporation, Michael J. Hoffman, Michael J. Brooks, and Jerome S. Rydell Case Number: 03-04283 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Donald and Lila Alpin ("Claimants") were represented b

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Douglas Fox and Case Number: 03-04280 Hearing Site: Detroit, Michigan Respondents FSC Securities Corp., and David J. Yankovich NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Douglas Fox ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula- Stein, Esq., Law Offices of Anthony V. Trogan,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Norman and Annabelle Norman, Claimants v. Morgan Stanley DW Inc. and David C. Mielke, Respondents Case Number: 03-04279 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Douglas Norman and Annabelle Norman In Pro Per Murrieta, California For Respondents: Tait Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luhuana A. Herrin, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 03-04277 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Randall R. Heiner, Esq. Law Offices of Randall R. Heiner Salt Lake City, Utah For Respondent: Milo Steven Marsden, Esq. Dorsey & Whitney LLP Salt Lake City,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kelly Eng and 03-04267 Dallas, Texas Little and Company Glenn A. Little . Tonya S. Johnson Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Kelly Eng ("Claimant") was represented by Jeffrey S. Lowenstein, Esq., ^ell Nunnally & Martin LLP, Dallas, Texas. Little and Company ("Respondent Little and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Beth M. Gtaub, individually and on behalf of the Beth M. Glaub IRA and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Wendell M. Roodman Case Number: 03-04263 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Beth M. Glaub, individually and on beha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant H. Werner Krause Rollover, IRA Names of the Respondents K.W. Brown Investments, Inc. Kenneth Brown Case Number: 03-04260 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For H. Werner Krause Rollover, IRA, hereinafter referred to as "Claimant": John T. Getz, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Belachew Telahun Trustee, Telahun Family Trust and Belachew Telahun, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Aria Ghajar, Larry P. Smith, Jr., Julie M. Ghajar, Gaylord W. Galiher, Michael E. Kleinsmith and Patricia G. Williams, Respondents Case Number: 03-04255 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Per