NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00908 Earl E. Babcock, Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., Respondent. ATTORNEYS: For Claimant, Earl E. Babcock, ("Claimant"), appeared Herbert L. Ocks, Esq., Philadelphia, PA. Respondent, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., ("Respondent"), appeared through its in-house counsel Edmund Shea, Esq. NATURE OF DISPUTE: Customer v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard Tuten Name of the Respondent Laidlaw Global Securities, Inc. Nature of the Dispute: Customer vs. Member Case Number: 03-00904 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Richard Tuten, referred to as "Claimant": Philip J. Snyderbum, Esq., Snyderburn, Rishoi & Swann, Orlando, Florida. For Laidlaw Global Securities, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Harriet Mead and William Mead Name of the Respondent Morgan Stanley DW, Inc. Name of the Third Party Respondent Glenda Mead Case Number: 03-00902 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member v. Customer. REPRESENTATION OF PARTIES For Estate of Harriet Mead and William Mead, hereinafter referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Douglas Biggins and Jo-Ann Biggins, Joint Account Jo-Ann Biggins Names of the Respondents A.G. Edwards & Sons, Inc. Ronald Keebler Case Number: 03-00901 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas Biggins and Jo-Ann Biggins, Joint Account

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00899 Anne M. Dye, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc. and Jason T. Lewer, Respondents. ATTORNEYS: For Claimant, Anne M. Dye, ("Claimant"), appeared Brian A. Carlis, Esq., of the firm, Stark & Stark, Lawrenceville, NJ. Respondents, Merrill Lynch Pierce Fenner & Smith Inc. and Jason T. Lewer, (collectively "Respondents"), appeared through their in-house counsel Daniel E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant CaseJNumhfiC 03-00897 Mark Pappas Name nf the ftesprmdent Hearing Site; Philadelphia, PA Acument Securities, Inc. David Appleyard Nature of the Dispute: Customer v. Non-Member and Associated Person. RKPRFSFNTATION OF PARTIES Claimant, Mark Pappas, hereinafter referred to as "Claimant", was represented by Anthony J. Horn, Esq., Attorney at Law, New Yo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Merola and Judith Merola (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc., Jack Grubman, and Paul Gallagher (Respondents) Case Number: 03-00895 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Joseph Merola ("Joseph Merola") and Judith Merola ("Ju

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary M. Madtes (Claimant) v. A.G. Edwards & Sons, Inc. and Vincent J. lammarino (Respondents) Case Number: 03-00891 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mary M. Madtes ("Madtes") hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Offices of W. Alexande

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Name of the Claimants O^elShirnher; 03-00890 Karol T. Zerr and Wayne V. Zerr, Name of the "Respondent Rearing Site: Houston, Texas Bryan T. Forman, Claimants Karol T. Zerr and Wayne V. Zerr, hereinafter collectively referred to as "Claimants," were represented by R. James George, Jr., Esq. and J. Scott Denko, Esq. of George & Donaldson, L.L.P. located in Austin,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Christ, Nicholas and Jolan D'Alessio, Herbert and Rose Lieberman, Marc Schwartz and Melvin Wallshein (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Steven N. Jaenichen, (Respondents). Case Number: 03-00887 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claima