Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thft naimants f^g Nurnhfir- 03-02284 Azam and Lisa Anwar nf t|ip Rpcpnfi^ppt^ pparing Site- Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick NATTTIF OF Public Customer v. Member Firm and Associated Persons PAKTTFS Claimants Azam and Lisa Anwar, hereinafter referred to as "Claimants": Jakes Jordaan

Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: Name of Claimant: Walter K. Merryman ^ Case No.: 03-02283 Hearing Location: Houston, Texas v. ;f Name of Respondent: >; Merrill Lynch, Pierce, Fenner & Smith ,; Inc. ? NATURE OF THE CASE Customer v. Member Firm REPRESENTATION OF PARTIES Claimant, Walter K. Merryman, ("Claimant") was represented by Russell Silverglate, Esq., of Dickenson, Rex & Sloa

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant '• Russell Benjamin Holloway, Sr. s By and Through His Attorney-in-Fact, Dan L. Holloway and 03-02280 Oklahoma City, Oklahoma Name of Respondent 1 t • Capital West Securities, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Russell Benjamin Holloway, Sr. By and Through His Attorney-in-Fact, Dan L. Holloway

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Robert Lesser (Respondent) Case Number: 03-02274 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. ("Ryan Beck") hereinafter referred to as "Claimant": Dominick J. Dorata, Esq., Dominick J. Dorata, Attorney at Law, Scarsdale, NY. Respondent Robert Less

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roy Piazza Living Trust Roy Piazza, Trustee, Case Number:- 03-02273 Claimant v. A.G. Edwards & Sons, Inc. and Martin L. Smith, Respondents Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Roy Piazza Living Trust, Roy Piazza, Trustee ("Piazza"), hereinafter referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David Perlick, Laura Perlick and Michael Perlick and Name of Respondent Charles Schwab & Co., Inc. and Name of Third Party Claimant Charles Schwab & Co. and Names of Third Party Respondents Howard Weurth, Marcella Weurth, and Linda Wilson Case Number: 03-02272 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Southern Michigan Bancorp., Inc. , v. Case Number: 03-02270 Hearing Site: Troy, Michigan Respondent USAIlianz Securities, Inc. f/k/a LifeUSA Securities, . Inc., Jefferson Pilot Securities Corporation, Jefferson Pilot Financial, James J. Morrison and James J. Morrison and Associates ' And Counter-Claimant Jefferson Pilot Securities Corporation v

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Robert L.V. Jernigan, Trustee U/A Dated June 6,1983 (Claimant) ! and Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Scott Winningham (Respondents) Case Number: 03-02266 Hearing Site: Detroit, Michigan Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert L.V. Jernigan, Trustee U/A Dated Jun

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01209 GKN Securities, Corp., Inc., Claimant vs. Lenin McFarlane, Respondent. ATTORNEYS: For Claimant appeared Michael C. Colombo, Esq., in-house counsel, New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: March 12, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay a promissory note. Claim Data Claim: $4,500.00 Interest: unspecified Att

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Betty Goldfarb Name of the Respondent Prudential Equity Group, L.L.C. Name of Third Party Respondent Sanford Goldfarb Case Number: 03-02261 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member vs. Customer. REPRESENTATION OF PARTIES For Betty Goldfarb, hereinafter referred to as "Claimant": Thomas P. Willcutts, Esq., W