Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Belasky and Sharyn Belasky, and Michael Belasky IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gary K. Stern (Respondents) Case Number: 02-07652 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael Belasky and Sharyn Belasky ("Belaskys"), and Michael Belasky IRA

NASD DISPUTE RESOLUTION AwlllD NASD DISPUTE RESOLUTION CASE:02-07647 Dina Lombard!, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Dina Lombardi, ("Claimant"), appeared Adam S. Doner, Esq. of the Law Offices of Gordon & Doner, P.A., Palm Beach Gardens, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie M. Russo, Esq., of the Law Offices of Morg;an Lewis & Bockius LL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07637 Barbara J. Beckstrand, Claimant vs. John L. Jenkins, Respondent. ATTORNEYS: Claimant, Barbara J. Beckstrand, ("Claimant") appeared Pro Se., Del Mar, CA. Respondent, John L. Jenkins, ("Respondent") appeared Pro Se., San Diego, CA. DATE FILED: December 18, 2002. CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty by misrepresenting and omitting facts relating t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07635 Wells Fargo Bank, N.A., Claimant vs. Glen R. Richardson, Respondent. ATTORNEYS: " ~ ~ ' ~ ~ ~ ~ ~ ™ ~ " ~ For Claimant, Wells Fargo Bank, N.A. ("Claimant") appeared Ronald S. Kravitz, Esq. of Liner Yankelevitz Sunshine & Regenstreif, LLP San Francisco, CA. Respondent, Glen R. Richardson, ("Respondent") appeared pro. se., El Dorado Hills,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Pl^manf? ragpTSJnmhp-i- 02-07632 Ben B. Johnson and Gayle Y. Johnson | n f tl 1 ^ T^psp^nH^nls I4paringgjtp- Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj O Public Customer v. Member Firm and Associated Persons Claimants Ben B. Johnson and Gayle Y. Johnson, hereinafter referred to as "Claimants": Jakes

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-07631 Richard L. Worsham Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch & Company William R. O'Neil Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Richard L. Worsham, hereinafter referred to as "Cla

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants BYRON C. and ALICE H. JOHNSON, individually and as Trustees of the BYRON C. JOHNSON and ALICE H. TRUST U/A DTD 06/15/89 and THE BYRON C. AND ALICE H. JOHNSON TRUST U/A DTD 06/15/89 and Name of Respondents US BANCORP PIPER JAFFRAY and MICHAEL K. SELF Case Number: 02-07630 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer vs. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Name of the Claimant ) Hase Number 02-07629 Charles Schwab & Co., Inc. ) Name of the Respondent ) Hearing Site: Indianapolis, Indiana Charles E. Huohev } MATIIPF HF Member Firm v. Associated Person PPPPPSFMTATinM OF Richard A. Karoly, Esq. of Charles Schwab & Co., Inc. located in San Francisco, California represented Claimant, Charles Schwab & Co., Inc. ("Schwab"), her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel B. Greenberg and Daniel B. Greenberg IRA (Claimants) v. Morgan Stanley Dean Witter, Inc. and Thomas Tartaglia (Respondents) Case Number: 02-07628 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Daniel B. Greenberg ("Greenberg") and Daniel B. Greenberg IRA ("Greenberg IRA") hereinafter

NASD DISPUTE RESOLUHON AWARD NASD >PISPIJTIRESQUmON Afsaneh Sandxaz* Claimant vs. TD Waterhoose Investor Services Inc. sad Eric Anderson. Respondents. ATTORNEYS: Claimant appean^d pro 4e, San Rafael, CA, For Respondents appeared in house counsel, Jams CampanelU, Esq., Boca Raton, FL- NATURE OF DISPUTE: Customer vs. Member aad Associated Person PATE FILED; 18, 2002 CASE SUMMARY: Claimant alleged that Respondents omitted, and misrepresented facts,