NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02974 David Qualey, Laura Qualey, and David Trinkoff, Claimants vs. Thomas F. Ercolano, Respondent. ATTORNEYS: Claimants, David Qualey, Laura Qualey, and David Trinkoff, (collectively "Claimants"), appeared through their in-house counsel, Howard Sendrovitz, Esq., New York, NY. For Respondent, Thomas F. Ercolano, ("Respondent") appeared Ernest Edward Badway, Esq. of the Law Offices of Sai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David and Pamela Swanstrom, individually arid as respective trustees for their retirement accounts, and David Swanstrom, as custodian for their daughter Lane Swanstrom, (Claimants) v. Summit Equities, Peter O'Neill, and Kevin Rex (Respondents) Case Number: 03-02973 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Tiscornia (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Alan Jacobson, (Respondents) Case Number: 03-02972 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Fred Tiscornia ("Tiscornia") hereinafter referred to as "Claimant": Sheldon H. Gopstein, Esq., Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott A. Howard (Claimant) v. Murphy & Durieu and Alexander Stem (Respondents) Case Number: 03-02970 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Scott A. Howard ("Howard") hereinafter referred to as "Claimant": Brian J. Butler, Esq., Bond, Schoeneck & King, PLLC, Syracuse, NY. Respondents Mur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' Case Number: 03-02965 David M. Morton Names of the Respondents Hearing Site: Tampa, Florida H&R Block Financial Advisors, Inc., f/k/a Olde Discount Corporation George V. Ryan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David M. Morton, hereinafter referred to as "Claimant": John A. Colton, Esq., D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02961 Theodore Bauer Theodore Bauer IRA Rollover Theodore R. Bauer Trust dtd 12/09/99 Eileen Bauer Eileen Bauer IRA Rollover Eileen Bauer Trust dtd 12/09/99 Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. William Smathers Gary Bray Nature of the Dispute: Customer vs. Member and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven B. Cox David P. Cox Thomas E. Cox Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick James Dwyer William Kenneth Bruce II Case Number: 03-02959 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTES For Steven B. Cox, D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Aaron Kaye and Margaret Kaye and 03-02954 Phoenix, Arizona Name of Respondents Bane One Securities Corp. Nancy K. Smith • Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Aaron Kaye and Margaret Kaye ("Claimants") appeared pro se. Bane One Securities Corp. ("Respondent Bane One") and Nancy K. Smith ("R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Blain Trust, by and through its Successor Trustees, The Estate of Claude A. Blain, by and through its Executor, and Serge Blain, Marc Blain, Charles Blain, and Philippe Blain, in their capacity as designated beneficiaries of the Blain Trust, the Estate of Claude A. Blain, and the accounts known as LPL account numbers 03-02949 1263-0686, and 1392-5065 Dallas,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hoffer Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Spencer W. Beard and Gerard Oliver, Respondents Case Numbe^: 01-01244 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Barry J. MacNaughton, Esq. Karina B. Sterman, Esq. Ervin, Cohen & Jessup LLP Beverly Hills, California For Respondents: Todd A. Zuckerbrod, Esq.