Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: G. Carrol Incencio, Claimant v. Bane of America Investment Services, Inc. and James E. McCabe, Respondents Case Number: 04-02185 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steven M. Green, Esq. The Law Finn of Steven M. Green San Diego, California For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: InterSecurities, Inc. (Claimant) v. Dennis W. Russell (Respondent) Case Number: 04-02179 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant InterSecurities, Inc. ("Claimant"): James F. Koehler, Esq., Gallagher, Sharp, Fulton & Norman, Cleveland, OH. Respondent Dennis W. Russell ("Respondent") appeared pro se.

CASE: 04-02178 David J. Parker, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant David J. Parker ("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 the firm Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02177 Joseph Ditaranto and Carmella Ditaranto, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants, Joseph Ditaranto and Carmella Ditaranto, ("Claimants"), appeared Wm. Jemison Minis, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacoia, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Glenn Curtis and Rosemary Curtis, Steven Glenn Curtis Profit Sharing Plan, Kaiser Sose Limited Partnership, and Glenn Curtis (Claimants) v. Cantone Research, Inc., Anthony J. Cantone, and Christine L. Cantone (Respondents) Case Number: 00-05772 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02176 Richard M. Hughes and Timothy M. Hughes Claimants vs. Trinix Securities, LLC, Respondent ATTORNEYS: For Claimants, Richard M. Hughes and Timothy M. Hughes ("Claimants") appeared Frank A. Nonis, Jr., Esq., of Great Eastern Securities, Inc., Syosset, NY. For Respondent, Trinix Securities, LLC, ("Respondent") appeared Stephanie R. Finkelstein, Esq., of the firm Seyfarth Shaw, LLP, Los Ang

CASE: 04-02175 Stephen Schelz, Claimant v. Harrison Securities, Inc., Respondent ATTORNEYS: Claimant Stephen Schelz ("Claimant") appeared pro se, Stamford, CT. Respondent Harrison Securities, Inc. ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: March 30, 2004. CASE SUMMARY: Claimant alleged that Joseph Broyles, a broker at Harrison Securities, Inc. purchased shares of Netgear with

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02174 Matthew P. Vaughn, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Matthew P. Vaughn, ("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 Stephen C. Jackson, Esq., of th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth M. Brodine, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Diane M. Carter, Respondents Case Number:04-02159 Hearing Site:Portland. Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Celeste Chiaramonte, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondents: Thomas C. Sand, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02156 Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. John Posey John McKeehan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold Fagg and Karen Fagg, hereinafter collectively referred to as "Claimants": Scott L. Silver, Esq., Blum, Silver &