NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03939 Yatinder Singhal, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Yatinder Singhal, ("Claimant"), appeared Maurice S. Reisman, of Maurice S. Reisman, P.C., Farmington Hills, MI. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondents"), appeared their in-house counsel, Angela A. Turiano, Esq., New York, NY. NATURE OF DISP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Evelyn S. Belleman Name of the Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Robert J. Schmidt Case "Number: 0: -03936 Hearing Site: Phi adelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SFNTATTON OF PARTTF.S Claimant, Evelyn S. Belleman ("Claimant") was repr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy Mae McMillan and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Betty J. Cinq-Mars Case Number: 03-03935 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Dorothy Mae McMillan ("Claimant") appeared in pro per. Merrill Lynch Pierce Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Moosa M. Lunat, Claimant v. Clover J. Hill, Weatherly Securities Corporation, Weatheriy International, PLC and Ehrenkrantz King Nussbaum, Inc., Respondents Case Number: 03-03933 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Members, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Mizrahi and Sophie Mizrahi (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Vincent Yackery (Respondents) Case Number: 03-03929 Hearing Site: New York, New York Nature of the Dispute; Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jack Mizrahi ("J. Mizrahi") and Sophie Mizrahi ("S. Mizrahi") hereinafter collectively referred to

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gregory R. Anderson and 97-00176 Name of Respondent R. J. Steichen & Co. REPRESENTATION OF PARTIES Gregory R. Anderson ("Claimant") was represented by Alain M. Baudry, Esq. and Richard G. Wilson, Esq., Maslon Edetrnan Barman & Brand, Minneapolis, Minnesota. R. J. Steichen & Co. ("Respondent") was represented by Vincent D. Louwag

AWARD In the Matter of Arbitration Between Lamar County Water Supply District Profit Sharing Plan and Trust, Claimant, and No. 97-00174 Addison Securities, Inc., and Charles Schwab & Company, Inc. Respondents. REPRESENTATION OF PARTIES Claimant, Lamar County Water Supply District Profit Sharing Plan And Trust (hereinafter, "Claimant") was represented by Corbet F. Bryant, Jr., Esquire of Carrington Coleman Sioman & Blumenthal, located in

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00169 Alexander Koroluk, claimant v. J.B. Oxford & Company, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Herkimer, NY. For Respondents appeared Scott G. Monson, Esq. - Beverly Hills, CA DATE FILED: 1/13/97 CASE SUMMARY: Claimant alleged unauthorized purchase of Comparator Sys. Inc, and negligence in the management of his account.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John and Patricia Reilly as Trustees for the John and Patricia Reilly Family Trust, Claimants v. WM Financial Services, Inc., Edward Schrufer and Washington Mutual, Inc., Respondents Case Number: 01-01430 Hearing Site: San Francisco, California REPRESENTATIONOF PARTIES For Claimants: Mark L. Strombotne, Esq. Strombotne Law Firm San Jose, California For Respondents: Sam

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Maureen and Paul Belanger 97-00167 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. REPRESENTATION Claimants Maureen and Paul Belanger ("Claimants") appeared pro se. For Respondent Merrill Lynch, Pierce, Fenner &. Smith, Inc. ("Respondent") appeared Howard C. Sawransky, Esq., Assistant Vice President of Merrill Lynch, Pierce, Fenner & Smith, Inc.