AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Marsha F. Smeltzer and Richard H. Smeltzer and Case Number: 02-06589 Hearing Site: Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Christopher Johnston and Henry Blodget NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Marsha F. Smeltzer and Richard H. Smeltzer ("Claimants") were represented by Mara

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nora Muhlbaum Leeds (Claimant) v. Howard Lisch Investment Services, Howard Lisch ? and Securities Service Network, Inc. (Respondents) Case Number: 02-06584 Hearing Site: New York, New York 4 Nature of the Dispute: Customer v. Non-Member, Associated Person, and Member Firm. REPRESENTATION OF PARTIES Claimant Nora Muhlbaum Leeds, hereinafter referred to as "Claimant": Eric J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven S. Myers, as Trustee of the Steven S. Myers Revocable Trust U/A/D 12/01/00, on behalf of the Steven S. Meyers IRA, as Custodian for Jennifer Meyers, and as Custodian for Melissa Myers, Claimants v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Kandy E. Quigg, Respondents Case Number: 02-06578 Hearing Site: Los Angeles, California Nature of the Dispute: Custome

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Gaipa, Claimant v. Prudential Securities Incorporated, David H. Rascoe, and Eugene P. Ingargiola, Respondents Case Number: 02-06577 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Dreher Law Firm San Diego, California For Respondents: Charles B. LaChaussee, Esq. Prudential Securities Incorporated San Fra

iJMl-OMODZ 08:aiai FrortASD DISPUTE RESOLUTION + T-714 P.OOS/Dll F-B62 .'• ORIGINAL Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ted Kaly and Mary Jo Kaly, Claimants v. Emmert A. Lwkin Company, Inc., Royal Hutton Securities Corp., John T- Ciofalo, Ruis Reis Figueiredo, Paul S. Medaglia, John T. Pisapia, Respondents Case Number: 00-04128 Hearing Site: Salt Lake City, UMi REPRESENTATION OF PARTIES For Claimants: Ra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06573 Beverly K. Walker Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF THE PARTIES For Beverly K. Walker, hereinafter referred to as "Claimant": Michael J. Cohen, Esq., Cohen & Greenberg, LLC, Weston, Florida. For Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jackie Simon Names of the Respondents Adam T. Fonnan and Bruce E. Rich Case Number: 02-06572 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Associated Person & Associated Person. REPRESENTATION OF PARTIES Jackie Simon, hereinafter referred to as "Claimant", appeared pro se. For Respondent Adam T. Forman ("Fonnan"): Delmer C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claim art rasft Nnmter 02-06571 The Ricky L. Snyder Charitable Remainder Trust Name nf thft Respondents Hearing Site.: Washington, DC Thomas Weisel Partners, LLC Jeffrey S. Schottenstein Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTFS Claimant, the Ricky L. Snyder Charitable Remainder Trust, by and through its Truste

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf the. Claimant Case Number 02-06570 The Paul J. Speroni Charitable Remainder Trust by and through its Trustee Paul J. Speroni Name nf the Respondents Hparing Site.; Washington, D.C. Thomas Weisel Partners, LLC Jeffrey S. Schottenstein Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSF.NTATTON OF PARTTF.S Claimant, the Paul J. Speroni Charitabl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jack and Marlene Farbstein and Case Number: 02-06567 Hearing Site: Houston, Texas Name of Respondent Wachovia Securities, LLC NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Jack and Marlene Farbstein ("Claimants") were represented by Samuel B. Edwards, Esq., of Shepard, Smith & Edwards, P.C., of Houston, Texas. Wachovia