Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06238 Bonnie M. Vanlandingham, TTEE of the Bonnie M. Vanlandingham Trust; Bonnie M. Vanlandingham, TTEE of the Ronald W. Vanlandingham Trust; and, Bonnie M. Vanlandingham Names of the Respondents Hearing Site: Boca Raton, Florida FSC Securities Corporation and Michael J. Klimis Nature of the Dispute: Customer vs. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Stanton Cherry Renee Cherry Names nf the Respondents Valley Forge Securities, Inc. Robert Montani, Jr. Case Number* 02-06237 Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customers v. Terminated Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Stanton Cherry and Renee Cherry, hereinafter collectively refe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Leonard C. Demers v. 02-06233 Minneapolis, Minnesota Respondent/ Counterclaimant Roan-Meyers Associates, LP Nature of Dispute: Associated Person v. Member and Member v. Associated Person REPRESENTATION OF PARTIES Leonard C. Demers ("Claimant") was represented by Douglas C. Evans, Hillsdale, New Jersey. Roan-Meyers Associates, LP ("Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06230 Michael D. Weaver Names of Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith Inc., Paul A. Pagnato, and David Karp Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTTttS Claimant, Michael D. Weaver, hereinafter referred to as "Claimant," was represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susann H. Reef IRA and Thomas Reef Trust, Susann Reef, Trustee (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., William Palmer, and John Inhouse HI (Respondents) Case Number: 02-06228 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Susann H. Reef IRA ("Reef IRA") and Thomas Reef

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Plrn'marrf Page Nnmh^r- 02-06227 James D. Shute, IRA nf the T^pnndent Hiring Sfrp- Philadelphia, PA Merrill Lynch Pierce Fenner & Smith Inc O Claimant, James D. Shute, IRA, hereinafter referred to as "Claimant", was represented by Richard A. Levan, Esq., Richard A. Levan & Associates, Philadelphia, Pennsylvania. Respondent, Merrill Lynch Pierce Fenner & Smith Inc., he

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David and Karen Ballard Claimants, Vs. Scott Weissman, Paul Pace, Brian M. Thornton, Robin Ketchem-Maes, Clifford T. Morgan, Warren R. Markowitz, EBI Securities Corp. (n/k/a Global Securities Corporation, Inc.) Respondents. Case Number: 00-04091 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, David and Karen Ballard ("Ballards"): Robert L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Thomas Gambetta (Claimant) v. Salomon Smith Barney, Inc. and Brad Zilbersher (Respondents) Case Number: 02-06226 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Charles Thomas Gambetta ("Gambetta") hereinafter referred to as "Claimant" appeared pro se. Respondents, Salomon Smith Barn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06223 Stuart A. Barbour, Jr., claimant vs. Gallon & Associates, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Roanoke, VA. For Respondent appeared in-house counsel, Robert B. Greblunas, Tampa, FL. DATE FILED; October 17, 2002 CASE SUMMARY: Claimant alleged that respondent sold him a bond and failed to disclose information regarding the fact the issuer of the bond filed for bankr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between , Claimants ! Pragmatic Computing, Inc. Money Purchase Plan, Ellen Staats Taubman Trust and Diana Staats Taubman Trust v. 02-06220 Denver, Colorado Respondents Wachovia Securities, LLC, Don A. Hansen and Philip T. Kirshman . • Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Pragmatic Computing, Inc. Money Purchase Plan, E