NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04029 John and Patti Nezbed, Claimants vs. M&I Brokerage Services, Inc. and William K. Curtis, Respondents. ATTORNEYS: Claimants, John and Patti Nezbed, ("Claimants"), appeared pro se, Green Bay, WI. For Respondents, M&I Brokerage Services, Inc. and William K. Curtis, ("Respondents"), appeared Gregory T. Everts, Esq., Madison, WI. NATURE OF DISPUTE: Customer v. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04028 Michael H. Garland Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Joseph Weston, Jr. Chip Wright Daniel Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael Garland, hereinafter referred as "Claimant": Patrick A. Davis, Esq., Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between 1 | Claimant American State Bank & Trust of Dickinson '• |( i v 03-04021 Minneapolis, Minnesota Respondents US Bancorp Piper Jaffray, Inc. and Michael Altringer Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES American State Bank & Trust of Dickinson ("Claimant") was represented by Terrance M. Fruth Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reginald Wayne Clark and Beverly Jean Clark Family Trust, Claimant v. Morgan Wilshire Securities, Inc. and Dimitry Alex Metelkin, Respondents Case Number: 03-04010 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reginald Wayne Clark In Pro Per San Diego, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: NamejoflheJClaimants Vicki Montgomery : 03-04002 Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and Andrew Melnick Hearing-Site: Dallas, Texas NATUBF. Public Customer v. Member Firm and Associated Pel-sons REPRESENJATIQNXte PARTIES Claimants Vicki Montgomery, hereinafter referred to as "Claimants": Jakes Jordaan, Esq., of the f

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert C. Zuilhof and Dawn D. Zuilhoff and 01-01435 Dallas, Texas Name of Respondents Jeffrey C, Bruteyn Ameri-First SecuritiesCorp., First Southwest Company REPRESENTATION OF PARTIES Robert C. Zuilhof and Dawn D. Zuilhof ("Claimants") were represented Tom Farrier, Esq. of Murphy, Mahon, Keffler & Farrier, L.L.P. located in Fort Worth, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf t>]P P.lfljfnfmt fflpft TsT^TyihftT 03-04001 Catherine Hall Hiring Sit*?' Dallas, Texas Southwest Securities, Inc. Flexvest Securities Group, Inc. TV ATT ra OF Public Customer v. Member Firms Claimant Catherine Hall, hereinafter referred to as "Claimant": James R. Marlen, Esq., of the Law Offices of James R. Marlen, located in Dallas, Texas. Respondent Sou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. and R. Darlene Anderson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Phil Scott, Respondents Case Number: 03-03991 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Robert L. and R. Darlene Anderson In Propria Persona Brookings, Oregon For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wallace Watkins Lane Trust, Claimant v. Rick G. Handy and Merrill Lynch, Pierce, Fenner & Smith Inc., Respondents Case Number: 03-03990 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Melvin Wong, Esq. Melvin Y.Q. Wong, Attorney at Law Honolulu, Hawaii For Respondents: Lawrence Brennan

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bernard Beauvais and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Kevin F. Shamblin Case Number: 03-03989 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Bernard Beauvais ("Claimant") was represented by Kathleen P. Toolan, Esq., Levin Papantonio, Thomas, Esc