Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01519 Giovanni Oliva Wilma Angeleri Names of the Respondents Hearing Site: Boca Raton, Florida William O. Day, IE Jackie McDaniels Karl W. Hamilton Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Giovanni Oliva and Wilma Angeleri, hereinafter collectively referred to as "Claimants"; Frederico

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESQLtfTION CASE: 03-01518 Maxim Group, LLC, Claimant vs. John Van Clief, Respondent. ATTORNEYS: "~ For Claimant appeared in-house counsel, James, B. Siegel, Esq., Woodbury, NY, Respondent did not respond to the Statement of Claim. DATE FUJBD: March 3 7 2003 ~ ~~" CASE SUMMARY: Claimant alleged that Respondent has failed to repay monies owed being an amount paid to him in excess commissions, and a b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cheryl Jimerson (Claimant) v. InvestPrivate, Inc. and Scott Mathis (Respondents) Case Number: 03-01515 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Jimerson ("Jimerson") hereinafter referred to as "Claimant": Maris A. Godwin, Esq., previously Michael T. Conway, Esq., Lazare Potter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David DiRusso and David DiRusso c/f Gavin DiRusso (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kurt C. Jackson (Respondents) Case Number: 03-01513 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David DiRusso ("DiRusso") and David DiRusso c/f Gavin DiRusso ("DiRusso Custodian")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kerry Condy, Claimant v. Lehman Brothers, Inc., Veronica McCarthy, and Bill Welsh, Respondents Case Number: 03-01508 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward Zusman, Esq. Robert K. Crowe, Esq. Markun Zusman & Compton San Francisco, California For

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Fadi Daouk, Rendo Daouk, and Prairie Development West LLC and Case Number: 03-01499 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Daniel E. Totonchi NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Fadi Daouk, Rendo Daouk, and Prairie Development West LLC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants •*' Phillip D. Murphy Name of the Respondents Bane of America Securities, LLC Bank of America, N.A. Bank of America Corporation Pase Number 03-01497 Hearing .Site: Charlotte, North Carolina Nature of the Dispute: Associated Person v. Member and Non-Members. REPRESENTATION OF PARTIES Claimant, Phillip D. Murphy, hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01492 Estate of Nancy Jane O'Neil and The Nancy Jane O'Neil Living Trust, Claimants vs. Nick H. Singh and Royal Alliance Associates, Inc., Respondents. ATTORNEYS: For Claimants, Estate of Nancy Jane O'Neil and The Nancy Jane O'Neil Living Trust, (collectively "Claimants"), appeared Brett A. Howell, Esq., of the Law Offices of Florka & Schmitz, P.C., Grand Blanc, MI. For Respondents, Nick

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leap Funding LLC, (Claimant) vs. Refco Securities, LLC, Paul A. Basile, and Anthony V. Scianna, (Respondents) Case Number: 00-04466 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Leap Funding LLC, hereinafter referred to as "Claimant": Laurie A. Stanziale, Esq., Kramer Roth & Rosenbaum LLP, New York, NY (Ms. Stanziale was with the Law Offices of Allen Bodne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01491 Edward J. Delucia, Claimant vs. Robert M. Black and Tuscany Equity Management, Respondents. ATTORNEYS: Claimant, Edward J. Delucia appeared pro se., Alpharetta, GA. Respondent, Tuscany Equity Management did not respond to the Statement of Claim. Respondent, Robert M. Black appeared pro se, Tampa, FL. DATE FILED: February 28, 2003 ~~ CASE SUMMARY: Claimant alleged that Respondents r