Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara F. Vanderwilden (Claimant) v. Bear, Stearns & Co., Inc. (Respondent) Case Number: #02-06560 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Barbara F. Vanderwilden ("Vanderwilden") hereinafter referred to as "Claimant": Daniel W. Rice, Esq., Glynn, Landry, Harrington & Rice, LLP, formerly Harring

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christiane Neuville, Neuville Family Trust dated 4/24/89, and IRA F/B/O Christiane Neuville (Claimants) v. Todd M. Eberhard, Park South Securities, LLC, Clearing Services of America, and Eberhard Investment Associates, Inc. (Respondents) Case Number: 02-06559 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Person REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel Russo, Individually, and as Trustee for Aegis International, Inc. Profit Sharing Retirement Plan, Daniel D. Russo IRA, Daniel D. Russo c/f Tared D. Russo, Daniel D, Russo c/f Joel R. Russo, and Daniel D. Russo c/f Daniel Russo, Jr. (Claimants) v. Fiserv Securities, Inc., Federal Street Investments, Inc., Salomon Grey Financial Corp., and Roger Blundell (Respondents) Case Numb

Award j NASD Dispute Resolution i In the Matter of the Arbitration Between: ISJ PTTT P nf thP rifltmante Case Number. 02-06552 Fannie H. Thomas Fannie H. Thomas IRA Nathaniel A. McKinnon (g Sitfi- Baltimore, Maryland The Chapman Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTFS Claimants, Fannie H. Thomas ("Thomas"), Fannie H. Thomas IRA and Nathaniel A. McKinnon ("McKinnon"), hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06551 Douglas A. Swartz (Consolidated with 02-06778) Names of the Respondents Hearing Site: Tampa, Florida Robert W. Baird & Co. Incorporated Morris David Epstein Glenn M. Ullmann In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06778 Donna A. Swartz (Consolidated with 02-06551) The Guy A. Swartz Fa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Jack E. Shuler, D.D.S., P.A. Profit Sharing Plan, (Claimant) vs. American Express Financial Advisors, Inc. and Christopher E. Farris, (Respondents) Case Number: 00-04126 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, The Jack E. Shuler, D.D.S., P.A. Profit Sharing Plan, hereinafter referred to as "Claimant": W. Wright Danenbarger, Esq., Wiggin & No

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i 02-06549 Sam Betts; Charles Betts Legacy Trust; The Joshua Berts Legacy Trust; and, Betts Investment Company, LTD. Morgan Stanley DW Inc. and Mark Annon Johnson : Dallas, Texas NATUKF OF Tffip PTSP TT TF Public Customers v. Member Firm and Associated Person RFPFFSFNT ATTON OF P'APTTflft Claimants Sam Betts, Charles Betts Legacy Trust, The Joshua

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Ann Aselage and Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc Stephen M. Medina The Medina & Medina Group Case Number: 02-06547 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member, Associated Person and Non-Member :\ , REPRESENTATION OF PARTIES Carol Ann Aselage ("Claimant") was represented by Donald M. F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edmona Mashburn, Claimant v, Merrill Lynch, Pierce, Fenner & Smith Incorporated and David W. Ivarie, Respondents Case Number: 02-06542 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael P. Mears, Esq. Attorney at Law Bakersfield, California For Respondents: Eric

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06540 NFS/FMTC Rollover IRA FBO Bronius Satkunas and Bronius Satkunas, Claimants vs. Garnett L. Riddle, Jr. and Andrew Castellano, Suntrust Securities, Inc f/k/a Crestar Securities Corporation, Respondents. ATTORNEYS: For Claimant appeared K. L. Loveland, Esq. of the firm Investors Recovery Specialists, Inc., Savannah, GA. For Respondents appeared Henry L Willett, III, Esq., of the firm