Award NASD Dispute Resolution In the Matter of the Arbitration Between: Southfield Investors, Limited Partnership (Claimant) v. Goldman, Sachs & Co., Jack H. Hayflick, Richard M. Sincerbeaux, Jeffrey Goldenberg, Josephine Linden, Bobbie M. Rothberger, Goldman Sachs Asset Management, Goldman Sachs Funds Management, Goldman Sachs International Limited, Goldman Sachs Asset Management International, and Goldman Sachs Asset Management Japan Limited (Respondents)

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen S. Lowe (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and William Granville Dilley (Respondents) Case Number: 02-06960 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Karen S. Lowe, hereinafter referred to as "Claimant": Stephen P. Meyer, Esq., Meyer & Meyer & Ford, Charleston, WV. Respondents, Merrill Lynch, Pierce, Fanner & Smith I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pfoimant Cfl*?fi ]\[^]nhfir- 00-04163 Roal Global Corporation p n f th ff pp-gpnnfojrt H p m"JT?5 Sifr" Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant Roal Global Corporation, hereinafter referred to as "Claimant": Anthony A. Petrocchi, Esq., of Weil & Petrocchi, P.C., located in Dallas, Texas. Respondent Merrill Lynch, Pierce, Fenner & S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00431 Rick Tyler, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Lubbock, TX. For Respondent appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: February 1, 2000 CASE SUMMARY: Claimant alleged that respondent failed to properly execute a market order for 25 contracts of the November 144 QUE calls by using the wrong

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan Kaytes (Claimant) v. Prudential Securities, Inc. and John C. Ricker (Respondents) Case Number: 02-06959 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Allan Kaytes ("Kaytes") hereinafter referred to as "Claimant": Peter R. Bray, Esq., Bray, Chiocca & Miller, LLC, Parsippany, NJ.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond Albritton, Claimant Case Number: 02- 06954 v. Salomon Smith Barney Inc., Jack B. Grubman and Ronald A. Hollinger, Respondents Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer v. Member Firms and Associated Persons REPRESENTATION OF PARTIES Claimant Raymond Albritton: Represented by Hayward Richard Pressman of the law firm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Martha Riley Name of the Respondent Morgan Stanley Dean Witter & Co. Name of the Third-Party Respondent Robert McDaniel Case Number: 02-06943 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member vs. Customer. REPRESENTATION OF PARTIES For Martha Riley, hereinafter referred to as "Claimant": Richard C, Downing, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06942 Lawrence Chabot Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Leonard Michael Anderson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence Chabot, hereinafter referred to as "Claimant"; Alan J. Foxman, Esq., The Law Office of Alan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul and Judith Keiser as Joint Tenants with Rights of Survivorship, Paul Keiser as Trustee of the Paul Keiser IRA, and Judith Keiser as Trustee of the Judith Keiser IRA Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter Black Case Number: 02-06941 Hearing Site: Boca Raton, Florida Nature of Dispute: Custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Berhardine Timmerscheidt, individually, and as Custodian of the Berhardine Timmerscheidt IRA Names of the Respondents Weatherly Securities Corp. Michael K. McNulty Case Number: 02-06934 Hearing_Site: Tampa, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Berhardine Timmerscheidt, individ