Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Ann G. Prather, ; Claimant, vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Phillip A. Duncan, Respondents. Case Number: 02-07327 Hearing Site: Dallas, Texas NATURE OF CASE i Customer versus a Member.and an Associated Person. REPRESENTATION OF PARTIES Claimant Ann G. Prather, hereinafter referred to as "Claimant": Robert L. Tobey, Johnston To

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04216 First of Michigan Corporation, claimant vs. Patricia A. Clark and Oba D. Johnson, respondents. ATTORNEYS: For Claimant, appeared Marco G. DeSanto, Esq., of the firm Warner, Norcross and Judd LLP, Southfield, MI. Respondents did not respond to the Statement of Claim. DATE FILED: September 26, 2000. CASE SUMMARY: Claimant alleged that respondents failed to repay an amount owing

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Terry Austin and Jana Dee Austin, Trustees of the Austin Living Trust and Cove Enterprises LLC, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Ronald P. Perry, and Robert A. Connor, Respondents Case Number: 02-07313 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between Ronny Blaine Reynolds, Trustee of the Prudential Securities, Incorporated n/k/a! Prudential Respondents Case Number: 02-07312 I^onny Blaine Reynolds Trust dtd 9/21/95, Claimant v. ial Equity Group, LLC and Carl M. Kraeplin, Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant:

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07304 U.S. Discount Brokerage Inc., claimant vs. Robert E. Gill and Ethel M. Gill, respondents. ATTORNEYS: For Claimant appeared V.P. Gregory A. Randall, Rocky River, OH. Respondents did not respond to the statement of claim. DATE FILED: December 3, 2002 CASE SUMMARY: Claimant alleged that respondents failed to repay a debit balance due to the fact that their position dropped below the m

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07302 Jack and Joyce A. Mavis, claimant vs. Brian Leggett and E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared pro se, Tiburon, CA. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. DATE FILED: December 3, 2002 CASE SUMMARY: Claimants alleged that respondents rescinded bonuses that were promised to them in their accounts. Claimants maintai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07300 Continental Broker-Dealer Corporation, Claimant vs. Robert Keon, Respondent. ATTORNEYS: For Claimant appeared Timothy Feil, Esq. of the Law Office of Timothy Feil, Carle Place, NY. Respondent did not respond to the Statement of Claim. DATE FILED: December 3, 2002 CASE SUMMARY: Claimant alleged respondent indemnify the firm for a previous arbitration settlement for a claim that resu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07299 Vincent J. and Dorothy H. Mclnerney Name of the Respondent Hearing Site: Tampa, Florida SII Investments, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Vincent J. and Dorothy H. Mclnerney, referred to as "Claimant": James D. Keeney, Esq., James D. Keeney, P.A., Sarasota, Florida. For SII Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07298 Esther Farnsworth Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Esther Farnsworth ("Farnsworth"), hereinafter referred to as "Claimant": James D. Keeney, Esq., James D. Keeney, P.A., Sarasota, Florida. For Morgan Stanley DW, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lawrence Feather Jane Feather Names of the Respondents Securities Service Network, Inc. Jay C. Kelter Jerome Kelter Case Number: 02-07292 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence Feather and Jane Feather, hereinafter collectively