AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Miller and Theresa A. Miller and 04-02658 Kansas City, Missouri Name of Respondents AXA Advisors LLC The Equitable Life Assurance Society of the United States Nature of the Dispute: Customer vs. Member and Terminated Member. REPRESENTATION OF PARTIES Richard J. Miller and Theresa A. Miller ("Claimants ") were represented by Jane L. Stafford

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ian Hurwitz and Names of Respondents Terry L. and John Paul Sarvis Case Number: 04-02654 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Customer REPRESENTATION OF PARTIES Ian Hurwitz ("Claimant") was represented by Jack D. Ballard, Esq., The Ballard iaw Firm, Houston, Texas. On or after Daniel R. Kirshbaum, Esq., Axelrod,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp nfthfr r]pimgnt C^f WntT|Kp r 04-02648 Barbara L. Frank Hearing Sit p ' Dallas, Texas. Donald Sherman Becker Customer v. Associated Person OT? Claimant Barbara L. Frank, hereinafter referred to as "Claimant": Paul N. Young, CEO, Securities Arbitration Group, Inc., located in Los Angeles, California. Respondent Donald Sherman Becker, hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Chinni (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-02640 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Charles Chinni ("Chinni") hereinafter referred to as "Claimant": Nicholas K. Notias, Esq., Capetanakis & Preite, LLP, New York, NY. Respondent Merrill Lynch, Pie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02634 Judith Roop, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: For Claimant appeared Richard I. Lott, Esq., of the firm Levin Papantonio Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent appeared Melinda J. Lucas, Esq., of the firm Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02609 Lee Eddie Williams (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimant Lee Eddie Williams ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Andrea Morgan Greene, Esq., of t

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants James D. Mitchell, John W. Mitchell and James D. Mitchell, Joint Tenants with Rights of Survivorship, and the Special Needs Trust for John W. Mitchell, Jr. and Case Number: 01-00014 Hearing Site: Southfield, Michigan Names of Respondents Cantone Research, Inc. Sharpe Capital, Inc. and Robert E. Ainbinder NATURE OF DISPUTE Customers v.

CASE: 04-02605 Francis C. Mangan and Marie Mangan, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Francis C. Mangan and Marie Mangan (collectively "Claimants") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Melinda J. Lucas, Esq., of the firm May

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02598 Armona Jeffries and Shannon Evans, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Armona and Shannon Evans ("Claimants") appeared Wm. Jemison Minis, Jr., Esq. of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared J. Mi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02596 Shelly Hopkins-Rigg, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Shelly Hopkins-Rigg ("Claimant") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Bradley B. Rounsaville, Esq., of