Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Margo Wilkinson and Case Number: 04-02275 Hearing Site: Houston, Texas Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., and Raymond A. Deragon NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Margo Wilkinson ("Claimant") was represented by Brian E. Bro, Esq., Law Offices of Brian E. Bra, Hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janet A. Pritchard, Individually and as Trustee of the Janet A. Pritchard Revocable Living Trust Name of the Respondents Morgan Stanley DW, Inc. and Richard Hogard Case Number 04-02272 Hearing Site: St. Louis, Missouri JATIIF O Customer vs. Member Firm and Associated Person OF Richard B. Fosher, Esq. of the law firm Oakes & Fosher, LL

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02258 Donald and Barbara May Names of the Respondents Hearing Site- Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Martin Capra Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSF.NTATTON OF PARTIES Claimants, Donald and Barbara May, hereinafter collectively referred to as "Claimants"., were

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05775 Kermit and Margaret Schley, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Sun City West, AZ. For Respondent appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. DATE FILED: December 18, 2000 CASE SUMMARY: Claimants alleged that respondent made unauthorized trades in their account thereby creating a loss. Claim Data Award Dat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02256 Lannie D. Mitchell, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Lannie D. Mitchell, ("Claimant"), appeared Wm. Jamison 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 Bill Powell Guest, Esq., of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) v. Gregory J. Lessard (Respondent) Case Number: 04-02255 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": Anthony J. Borrelli, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02254 Frank H. Lorch and Frank H. Lorch as Custodian for Carl S. Lorch UTMAIA, Claimants v. Charles Schwab & Co., Inc., Respondent ATTORNEYS: For Claimant Claimants Frank H. Lorch and Frank H. Lorch as Custodian for Carl S. Lorch UTMA IA (collectively "Claimants") appeared pro se through Frank H. Lorch, Spirit Lake, IA. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Br

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02251 Fred W. Rhemrev, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Fred W. Rhemrev, ("Claimant"), appeared Win. 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 A. Inge Selden, III, Esq., of t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., file/a Salomon Smith Barney Inc., Claimant v. Frank Jesus Guzman, Respondent Case Number: 04-02242 Hearing She: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Jerry N. Evans, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: In Propria Persona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresa Robertson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 04-02239 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: David Gaba, Esq. Compass Law Group PLLC Seattle, Washington For Respondent: Erik Lansverk, Esq. Hillis Clark Martin & Peterson Se