Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Harrington and Lauren Harrington (Claimants) v. Smith Barney, Inc. and Fausto P. Lima (Respondents) Case Number: 03-02927 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants George Harrington ("G. Harrington") and Lauren Harrington ("L. Harrington") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy C. Russell (Claimant) and Merrill Lynch, Pierce, Fenne'r & Smith, Inc., and Richard T. Kellar (Respondents) Case Number: 03-02925 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Nancy C. Russell hereinafter referred to as "Claimant": George W. Cochran, Esq., Cochran & Cochran, Att

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Serafin Icasiano, Corazon Icasiano and Serafin Icasiano IRA (Claimants) v. Merrill Lynch, Pierce Fenner & Smith Incorporated and Barbara Roberts, (Respondents). Case Number: 03-02924 Hearing Site: New York, New York. Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Serafin Icasiano ("S. Icasiano"), Corazon Icasiano ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Hanson and Krista Hanson (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-02921 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Glenn R. Hanson ("G. Hanson") and Krista Hanson ("K. Hanson") hereinafter collectively referred to as "Claimants": Kevin Kinne, Esq., Cai

08/03/2004 14:24 FAI 0]002 Q7/TE/20Q4 10;b - -*"-- Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: : 03-02916 The Estate of Peggy Pavfos KattVfc nffhft Pi>CjWivtenf5 Hffgrrng Sift*.; Wflfihtngtrm MerrfflL>TK^ Scott KLintoa Nature of the Dispute: Customer vs. Member atuj Associated Pereon. Ommant, the Estate of Peggy Pavlos, hereinafter rdcrred to as "Claimai^, was represented by Nicholas J. Guiliaoo, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case "Number 03-02915 Robert W. Hehitz and Linda Heintz Names of the Respondents Hearing Site: Philadelphia, PA H&R Block Financial Advisors, Inc., as successor to Olde Discount Corporation, and Gregory Jackson Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert W. Heintz and Linda Hei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joanne Minken, Claimant v. Salomon Smith Barney, Inc. (n/k/a Citigroup Global Markets, Inc.) and Scott Shagrin, Respondents Case Number: 03-02914 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jules L. Federman Santa Barbara, California Nancy K. Undem, Esq. Law Offices of Nan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Savendra Dutt, Claimant v. Shelman Securities Corp., Kevin M. Weaver and Mark C. Parrnan, Respondents Case Number: 03-02913 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Shelman Securities Corp. For Respondent Mark C. Parman: For Respondent Kevin M. Weav

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gwyn E. Staton, Claimant v. Bane of America Investment Services, Inc., Respondent Case Number: 03-02911 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Lawrence R. Cock, Esq. Cable Langenbach Kinerk & Bauer, LLP Seattle, Washington For Respondent: Craig Miller, Esq. Davis Wright Tremaine LLP Seat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Securities, Inc., Claimant v. Jay L. Rogers and Bear Stearns & Co., Inc., Respondents Case Number: 01-01239 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Wells Fargo Securities, Inc.: For Respondent Bear, Stearns & Co., Inc. For Respondent Jay L. Rogers: Dan P. Sedor, Esq. Jennifer Rappoport, Esq. Louise Ann Ferna