AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants ' Margaret Jobe and Max Jobe ' 1 i and • , Case Number: 02-06429 1 Hearing Site: Troy, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. Daniel Lepore and Krista Girrbach » NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Margaret Jobe and Max Jobe ("Claimants") were represented by Joseph H. S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kelli Jones, Claimant v. Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.) and Grant Lee, Respondents Salomon Smith Barney, Inc. (now known as Citigroup Global Markets, Inc.), Third-Party Claimant v. Vincent K. Jones, Third-Party Respondent Case Number: 02-06428 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Pe

Stipulated Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: George A. Eddy, TTEE, Kathryn C. Eddy, TTEE, U/A DTD 1/14/99, George A. Eddy, IRA and Kathryn C. Eddy, IRA Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., James J. Hartigan, Josefina Glock and Neil J. Surgenor, Respondents Case Number: 02-06427 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06421 Stephen Balestra Jr., Claimant vs. Delta Asset Management Company LLC, Respondent. ATTORNEYS: Claimant, Stephen Balestra Jr. ("Claimant") appeared Pro Se., Reno, NV. Respondent, Delta Asset Management Company LLC, ("Respondent") appeared through its in- house counsel, Anthony Donnadio, Mineola, NY. DATE FILED: October 25, 2002 CASE SUMMARY: Claimant alleged that Respondent failed t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Domestic Securities, Inc. (Claimant) v. U.S. Bancorp Piper Jaffray, Inc. (Respondent) Case Number: 02-06420 Hearing Site: New York, New York Nature of the Dispute: Member v. Member. REPRESENTATION OF PARTIES Claimant Domestic Securities, Inc. ("Domestic") hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., Law Offices of Carole R. Bernstein, Westport, CT. Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Hadar, Olga Bagnasco Hadar, Richard Hadar Insurance Trust, Richard Hadar Family, LLC, Richard Hadar CLAT, The J-Trust, Hadar Retained Income Trust, and Hadar Foundation (Claimants) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Bruce Arnold Pomerantz (Respondents) Case Number: 02-06418 Hearing Site: New York, New York Nature of the Dispute: Customers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06414 Hansel M. DeBartolo M.D.S.C. Pension Plan & Trust Name of the Respondents Hearing Site: Chicago, Illinois BlueStone Capital Corp., John McKenzie, and Sands Brothers & Co. Type of Controversy: Customer v. Terminated Member, Associated Person, and Member Finn REPRESENTATION OF PARTIES Claimant Hansel M. DeBartolo M.D.S.C. Pension Plan

Award NASD Dispute Resolution In the Matter oftne Arbitration between: Name of the Claimant Case Number: 02-06413 Roger Gaeckler Names of the Respondents Hearing Site: Boca Raton, Florida Virgil Guerriero, individually and as Trustee of the Guerriero Family Trust Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Roger Gaeckler ("Gaeckler"), hereinafter referred to as "Claimant": Richard L. Martens, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Brett M. Lane, Beneficiary of David C. Lane, deceased IRA Names of the Respondents Stephen T. Whalen and Morgan Keegan & Company, Inc. Case Number: 02-06411 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brett M. Lane, Beneficiary of David C. Lane, d

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Company, Inc. ;; Case No. 00-04112 Name of Respondents Robert C. Sears, individually and d/b/a Last Minute Concessions, Inc., d/b/a Last Minute Concessions, and d/b/a Sears Casagrande & Hersh Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Charles Schwab & Company, Inc. ("Claimant"): John R. Snyder, E