AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants ' John and Marylyn DeFilippo and Case Number: 03-03423 Hearing Site: Houston, Texas Names of Respondents CIBC World Markets Corp., Christopher A. Zook, Jr., James Casey Hodges, and CAZ Investments NATURE OF DISPUTE Customers v. Member Firm, Associated Persons and Non-Member Firm REPRESENTATION OF PARTIES John and Marylyn DeFilippo ("Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Wallace Kleven and David Kleven v. 03-03422 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Joseph D. Farrell Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Wallace Kleven and David Kleven ("Claimants") were represented by Sidney J. Spaeth, Esq., of Vogel, Weir, Hunke & McCormick, LTD, Fargo, North Dak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas D. Mecca, Efterpe K. Mecca, and Abbey, Mecca and Company, Inc. (Claimants) v. S. C. Parker & Company, Inc., Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., and Anthony J. Muscarella (Respondents) Case Number: 03-03419 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Ni

Hfcj v v c/ v v i Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; *. Claimants r p*e>. Number 03-03414 Thomas D, Johannson Aim Tiptcn Johannson Nmngg. «Fthe R wjicmelgit-s Hearing Site: Baltimore, MT) Bruce S. Dunham, ffl Mark D. Stevens Jesse P. Boyd David J. Dukeharl Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member and Associated Persons. OF PARTIES C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pare Number 03-03412 Frances K. Irvin of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen N. Taft Nature of the Dispute: Customer vs. Member and Associated Person RF.PRFSFNTATTON OF PARTTPS Claimant, Francis K. Irvin ("Claimant"), was represented by James R. Hooper, Esq., Hooper & Weiss,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tire flnimant Pase Niimter 03-03410 Eleanor Tasher Names of the PggpnnHpnte Hearing Site; Washington, D.C. Legacy Financial Services, IDC. Joseph Karsner Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSRNTATTON OF PARTTF.S Claimant, Eleanor Tasher (''Claimant'*), was represented by William B. Young, Jr., Esq., Hooper & Weiss, L.L.C., Orlan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pauline Langlois Names of the Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc. Susan Knollinger Rebecca Hardt Case Number: 03-03409 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Pauline Langlois, hereinafter referred to as "Claimant": James R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01305 Lincoln Investment Planning, Inc., claimant/counterclaim respondent vs. William M. Cameron, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Catherine M. Harper, Esq., of the firm Timoney, Knox, Hasson, & Weand, LLP, Fort Washington, PA. Respondent appeared pro se., New York, NY. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant/counterclaim respondent a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03408 Jim R. Hyde Sheila Hyde Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrence Brashears Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jim R. Hyde and Sheila Hyde, hereinafter collectively referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03407 Thomas Shirley Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner and Smith, Inc. Matthew Grossman Kerry Clapper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas Shirley, hereinafter referred to as "Claimant": William B. Young, Esq.