NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02405 Kathryn B. Hause, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Kathryn B. Hause, ("Claimant"), appeared Wm. Jemison Mims, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, Procter, P.A., Pensacola, FL. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Kathryn R. Eldridge, Esq., of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. and 04-02397 Phoenix, Arizona Name of Respondent Mason Bradshaw Zerbe, TV Nature of the Dispute: Member vs. Associated Person. REPRESENTATTON OF PARTIES Bane of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02395 Ronald A. Mote Name of the Respondents Hearing Site: Indianapolis, Indiana Edward D. Jones & Co. and Michael Jon Enqelstad MATIIRF OF p|5}PIJTF Customer vs. Member Firm and Associated Person F Richard M. Blaiklock, Esq. of the law firm Lewis Wagner, located in Indianapolis, Indiana represented Claimant Ronald A. Mote ("Mote"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Melanie Grissett, Individually and as Trustee of the Joel M. Mansfield Trust v. 04-02385 Denver, Colorado Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Nature of Dispute: Customers v. Member REPRESENTATION OF PARTIES Melanie Grissett, Individually and as Trustee of the Joel M. Mansfield Trust ("Claimants"), were represent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02379 Ronald G. Pare Charlene Pare Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. David Casterioto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald G. Pare and Charlene Pare, hereinafter collectively referred to as "Claimants": A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Saul E. Freed, TTEE U/A DTD 09/19/86 by Saul E. Freed Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-02376 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Saul E. Freed, TTEE U/A DTD 09/19/86 by Saul E. Freed, hereinafter referred to as "Claimant": Richard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey D. Harris, individually and as trustee for The Steven K. Harris Trust, Claimants v. Morgan Stanley Dean Witter & Co. n/k/a Morgan Stanley DW Inc. and Daniel E. Pugel, Respondents Case Number: 04-02375 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Daniel W. Dunbar, Esq. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas Holloway, Claimant v. RBC Dain Rauscher, Inc. and Terry B. Fuerst, Respondents Case Number: 04-02372 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent RBC Dain Rauscher, Inc.: For Respondent Terry B. Fuerst in persona propna San Francisco, California

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Deutsche Bank Securities Inc. and Case Number: 04-02371 Hearing Site: Chicago, Illinois Name of Respondent Christoper P. Salomone NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Deutsche Bank Securities Inc., ("Claimant") was represented by Peter 1 Atieri, Esq., and David Clark, Esq., of Epstein Becker & Green, P.C.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jonnie F. Jones and Names of Respondents Edward D. Jones & Company, and Terrence Patrick Williams Case Number: 04-02361 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Jonnie F. Jones ("Claimant") was represented by Robert L. Rolnick, Esq., DeGrasse & Rolnick, Houston,