AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Douglas Carleton and Denise Carleton and Names of Respondents Merrill Lynch Pierce Fenner and Smith, Inc. and David Robert Zoellner, Sr. Case Number: 03-02166 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Douglas Carleton and Denise Carleton ("Claimants") was represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf th p OflJF'afltp C a ?c Num^n" 03-02165 Orville R. and Judith E. Wilmington nf ty RpgpnnH^nts Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc. and Sharon Goldston N ATTTRF OF TH^ Public Customers v. Member Firm and Associated Person Claimant Orville R. and Judith E. Wilmington, hereinafter collectively referred to as "Claimants": H. Grady Terrill,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: HD Brous & Co., Inc., (Claimant) vs. John Boscarino, (Respondent) Case Number: 01-01201 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, HD Brous & Co., Inc., hereinafter referred to as "Claimant": John G. Moon, Esq., Morgan, Lewis & Bockius LLP, Miami, FL. (Claimant was previously represented by Keith Olin, Esq. of the same firm.) Respondent, John Bosc

' *• STIPULATED AWARD t]]J ° CT } 8 20M NASD Dispute Resolution In the Matter of the Arbitration Between pR nf Claimants Edward and Adele Goldberg and Case Number: 03-02162 Hearing Site: Chicago, IL Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Christopher Garrity NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Edward and Adele Goldberg ("Claimants") were

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald Hunter and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 03-02160 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Donald Hunter ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfiel

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Samuel Greene Case r 03-02159 ing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc. Eugene Dewey Foxworth, m Charles Hugh Maguire, m Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRF.SP1MTATTON OF PARTTFS Claimant, Samuel Greene, hereinafter referred to as "Claimant", was represented by Kevin Rosen, Esq. and Andrew

Award NASD Dispute Resolution In the Matter of the Arbitration Between: One World Trust, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 03-02156 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Fred Rucker, Esq. Law Offices of Fred Rucker Los Angeles, California For Respondent: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, Californ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Victoria Moran (Claimant) v. Citibank, N.A. (Respondent) Case Number: 03-02155 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Non-Member. REPRESENTATION OF PARTIES Claimant Victoria Moran ("Moran'*) hereinafter referred to as "Claimant" appeared pro se. Respondent Citibank, N.A. ("Citibank") hereinafter referred to as "Respondent": Ira G. Rosens

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 03-02152 Marion F. Brink Name of the Respondents Hearing Site: Chicago, Illinois Assist Investment Management Co., Inc., Arthur C. Peterson, Dean A. Bengen, and Patricia A. Peterson NATURE OF THE DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Stephen S. Berkeley, Esq., of the firm Shaheen

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Eugene Nowoswiat and Marilyn Nowoswiat (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and David Russell (Respondents) Case Number: 03-02144 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Eugene and Marilyn Nowoswiat (the "Nowoswiats") hereinafter referred to as