NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01496 Charles W. Harlan Claimant v. Merrill Lynch, Pierce, Fermer and Smith, Inc., Respondent. ATTORNEYS: For Claimant, Charles W. Harlan ("Claimant") appeared Jeffrey B. Kaplan, Esq., and Scott M. Diamond, Esq., of the firm Dimond Kaplan & Rothstein, P.A. Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner and Smith, Inc., ("Respondent") Bradley B. Rounsaville, Esq., of the firm Maynar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nathan and Genia Stark, JTWROS, (Claimants) vs. TD Waterhouse Investor Services, Inc., Louis Giacalone, Janet Gold, Benjamin F. Bryan, Anthony Goglia and John Doe(s) 6-10, Federated Management, Inc., Stanley R. Smith, John P. Gavey, Daniel F. Librie, Eliss Whatever, Lawrence M. Waterhouse, Jr., and Thomas Textor, (Respondents) Case Number: 00-05702 - Hearing Site: New York, New Yo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01495 The Estate of Carl A. Moritz, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant The Estate of Carl A. Moritz ("Claimant") appeared Jeffery B. Kaplan, Esq. of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared A. Inge Selden, III, Esq., of the firm Maynard,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01494 Shelley A. Skolnick & Louis Skolnick JTWROS, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Shelley A. Skolnick & Louis Skolnick JTWROS, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Bradley

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01493 Seth Skolnick, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Seth Skolnick ("Claimant") appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P. A., Miami, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent") appeared A. Inge Selden, m, Esq., of the firm Maynard, Cooper & Gale, P.C., Birmingham,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01492 Kurt Silber and Irene Gladys Silber, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Kurt Silber and Irene Gladys Silber (collectively "Claimants") 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. ("Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 0^01491 James M. Rjddick IRA, Claimants v. Merrill Lynch, Pierce, Fenner Sc Smith, Inc., Respondent For Claimant James M. Riddick IRA ("Claimant") appeared Wra, 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 James L. Mitchell. Esq., of the fir

V NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01490 Robert R. Fisher and Shirley A. Fisher, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: " ~~ For Claimants Robert R. Fisher and Shirley A. Fisher (collectively "Claimants") appeared A. Renee Preston, Esq. previously Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Nadramia (Claimant) v. Garban, LLC and Ronald Purpora (Respondents) Case Number: 04-01476 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Michael Nadramia ("Claimant"): Edward F. Westfield, Esq., Edward F. Westfield, P.C., New York, NY. Respondents Garban, LLC ("Garban

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 04-01466 Frederick Blum Names nf the Respondents Hearing Site; Philadelphia, PA Philadelphia Brokerage Corporation Kevin F. Hamilton Nature of the Dispute: Customer vs. Member and Associated Person RF.PRF.SF.NTATTON OF PARTIES Claimant, Frederick Blum, hereinafter referred to as "Claimant", was represented by Anthony J. Horn, Esq., New Yo