NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02447 Marie and David Shepard, Claimant v. William Edward Sears, Patricia Jean Sears-Million, Cantwell Paul Sandifur, Jr., and Kovack Securities, Inc., Respondents ATTORNEYS: For Claimants, Marie and David Shepard, ("Claimants"), appeared Robert S. Banks, Jr., Esq., of the Banks Law Office, P.C., Portland, OR. For Respondents, William Edward Sears and Patricia Jean Sears-Million, appeared Lo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02446 James Pusateri and Debbie L. Pusateri, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants James Pusateri and Debbie L. Pusateri (collectively "Claimants") appeared Frederick J. Sudekum, III, Esq., of the firm Sudekum, Cassidy & Shulruff, CHTD., Chicago, IL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared J.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02444 James L. Frazier and Christine H. Frazier, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants James L. Frazier and Christine H. Frazier (collectively "Claimants") appeared A. Renee Preston, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02443 Deena Mae Leep and Kenneth H. Giove JTWROS, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: ~ " " For Claimants Deena Mae Leep and Kenneth H. Giove JTWROS (collectively "Claimants") appeared Adam M. Fetterman, Esq., of the firm Fetterman & Associates, P. A., North Palm Beach, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rick Taylor, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Steve Blasi, and Brian Britt, Respondents Case Number: 04-02440 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: John C. Wynne, Esq. Steven T. Coopersmith, Esq. Duckor, Spradling, Metzger & Wynne San Diego,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02435 Jonathan D. Torrens, Claimant v. Todd M. Radick and Tracey L. Radick, Respondents ATTORNEYS: For Claimant Jonathan D. Torrens ("Claimant") appeared Harold G. Ognelodh, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, NY. For Respondents Todd M. Radick and Tracey L. Radick (collectively "Respondents") appeared Thomas C. Wagner, Esq., of the firm Van Deusen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant DTI Financial, Inc. and Case Number: 04-02421 Hearing Site: Houston, Texas Names of Respondents AI M Distributors, Inc., and AI M Management Group, Inc. NATURE OF DISPUTE Terminated Member v. Member and Non-Member REPRESENTATION OF PARTIES DTI Financial, Inc. ("Claimant") was represented by Ali S. Ahmed, Esq., Ali S. Ahmed, P.C. Houston, Texas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants S. Peter Lebowitz Theresa Lebowitz Name of the Respondent Asset Management Securities Corp. Case Number: 04-02415 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For S. Peter Lebowitz and Theresa Lebowitz, hereinafter collectively referred to as "Claimants": Jeffrey B. Kapla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark and Bertha Kapetanakis (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., Rittenhouse Financial Services, Inc., and Douglas Lee Chin (Respondents) Case Number: 04-02411 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person, Member REPRESENTATION OF PARTIES Claimants Mark Kapetanakis ("M. Kapetanakis") and Bertha Kapetanakis ("B. Kapetana

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASK- 01-00005 Beuy P. Damsker, claimant vs. A.G. Edwards & Sons, Inc., respondent. ATTORNEYS: For Claimant appeared Norman A. Rotenberg, St. Petersburg, FL. For Respondent appeared Michael Naccarato, in house counsel, St. Louis, MO. DATE FILED: January 2, 2001 CASE SUMMARY: Claimant alleged respondent failed to execute trades in accordance with her wishes. Claim Data Award Data Cla