Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John H. Morgenthaler, Claimant v. Alex Zinger, Respondent Alex Zinger, Counter-Claimant v. John H. Morgenthaler, Counter-Respondent Alex Zinger, Third Party Claimant v. William Raike and Raike Financial Group Inc., Third Party Respondents Case Number: 03-00022 Hearing Site: Reno, Nevada Nature of Dispute: Customer v. Associated Person Nature of Dispute: Associated Per

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter M. Horvath, as an Individual and as Co-Trustee of the Horvath Family Trust and Susan A. Horvath, as Co-Trustee of the Horvath Family Trust, Claimants v. Raymond James Financial Services, Inc. and William R. Shinen, Respondents Case Number: 03-00018 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J. Jeffrey Weisenfeld, (Claimant) vs. J.W. Barclay & Co., Inc. and John A. Bruno, (Respondents) Case Number: 00-04290 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, J. Jeffrey Weisenfeld, hereinafter referred to as "Claimant": Daniel R. Solin, Esq., a sole practitioner, Bonita Spring, FL. Respondents, J.W. Barclay & Co., Inc. ("Barclay") and John A. B

STIPULATED A WARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jane A. Mattison-Jewell and 03-00017 Tucson, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Ralph E. Silberschlag Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jane A. Mattison-Jewell ("Claimant") was represented by Mark D. Lammers, Esq., Anson, Lammers & Barkley, P.C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00012 Donald E. Keifer Sandra K. Keifer Names of the Respondents Hearing Site: Little Rock, Arkansas Cooper Malone McClain, Inc. Larry Ade Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald E. Keifer and Sandra K. Keifer, hereinafter collectively referred to as "Claimants": Joh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Name of the Claimant Case Number: 03-00011 Josefa Higa IRA Josefa Higa Beneficiary of E. Higa Enrique and Josefa Higa Trust Daniel Higa and Josefa Higa Name of the Respondent;; Hearing Site: St. Louis, Missouri Merrill Lynch Pierce Fenner & Smith and Richard Arnold f Customer vs. Member Firm and Associated Person O Daniel S. Peters, Esq. of the law firm Her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MARGARET DESUTTER, individually, ) and ) MARGARET DESUTTER, Trustee U/A ) Dated March 27, 1989 By Guida E. Desutter) ) Claimants, ) ) and ) No. 03-00008 ) MERRILL LYNCH, PffiRCE, FENNER ) & SMITH, INC., ) ) and ) ) PHILIP WAYNE TAXMAN, ) ) Respondents. ) STIPULATED AWARD Nature of the Dispute: Customer vs. Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Kelly O'Connor (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-00001 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Mary Kelly O'Connor ("O'Connor") hereinafter referred to as "Claimant": Robert A. Klingler, Esq., Robert A. Klingler Co., L.P.A., Cincinnati, OH.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John McDowell and Names of Respondents Merrill Lynch Pierce Fenner & Smith and Lee Russell Case Number: 02-07887 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES John McDowell ("Claimant") was represented by Joel H. Kaufman, Esq., Law Offices of Joel H. Kaufman, Fa

OCOPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Ralph and Lois Bolnick Trust, Lois Bolnick, and Bolnick Investments LLC, Claimants v. Morgan Stanley DW Inc. and Adam A. Anderson, Respondents Case Number: 02-07885 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Ken Miller, Esq. Gormann & Miller Santa Monica, Califo