Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Past* Number- 02-04699 Ann Matyuf Names nf the Respondents Hearing Site: Pittsburgh, PA Kenneth R. Cauthorn Managed Expectations, Inc. Pin Oak Partners, Inc. Pankowski Associates, Inc. Nature of the Dispute: Customer v. Terminated Member, Non-Members and Associated Person REPRESENTATION OF PARTTFS Claimant, Ann Matyuf, hereinafter referred to as

t r Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tV>p riflirn^ptg Pasft Nnfflihq- 02-04689 Richard W. and Marcia E. Cardwell Spelman & Co., Inc. ipg ftit ft ' Indianapolis, Indiana Claimants Richard W. and Marcia E. Cardwell, hereinafter collectively referred to as "Claimants": Mark E. Maddox, Esq. of the firm of Maddox Hargett & Caruso, P.C., located in Fishers, Indiana. Respondent Spelman & Co., Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between JayV.Allin Case No. 00-03902 Ameritrade, Inc. Advanced Clearing, Inc. Hearing Site: Pittsburgh, PA ttFPRFSFNTATTON OF PAKTTFS Claimant, Jay V. Allin, hereinafter referred to as "Claimant": Warren J. Archer, Esq., Plummer & Pross, LLP, Pittsburgh, PA. Respondents, Ameritrade, Inc. ("Ameritrade") and Advanced Clearing, Inc. ("Advanced Clearing"), hereinafter colle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sharon Huckins Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Todd S. Griffith Case Number: 02-04682 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Sharon Huckins, hereinafter referred to as "Claimant": William B. Taylor, IV, Esq., Macfarlane, Ferguson & McMullen, Tampa, Florida. For Merrill

Stipulated Award NASD Dispute Resolution In the Matter 01 tneTArbitration between: Name of the Claimant Case Number: 02-04667 Larry M. Duvall Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Jerome Ingate Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry M. Duvall ("Duvall"), hereinafter referred to as "Claimant": Joel M. McTague, Esq., Boca Raton, Florida.

AWARD NASD Dispute Resolution MAY .17 2004 U In the Matter of the Arbitration Between Name of Claimants Edward & Joan Sarlo, Individually and as Trustees of the Edward & Joan Sarlo Revocable Trust and 02-04665 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward & Joan Sarlo, Individually and as Trustees of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean Soulios (Claimant) v. Robert M. Nathan and MetLife Securities, Inc. (Respondents) Case Number: 02-04662 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean Soulios ("Soulios") hereinafter referred to as "Claimant": Joseph M. Princi, Esq., Beverly, MA. Respondent Robert M. Nathan ("Natha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Nelson, M.D., Jeffrey Nelson IRA, and Jeffrey Nelson Profit Sharing Account (Claimants) v. Weatherly Securities Corporation, Gregory Matthews, John Scott Matthews, Michael David Ward, William R. O'Connell, John Wilson, Steven Frederic Singer, and Christopher Michael Reno (Respondents) Case Number: 02-04646 Hearing Site: New York, New York Nature of the Dispute: Customers vs.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04643 Michael A. and Marilyn A. Giancarlo, claimants vs. Metropolitan Life Insurance Company and Lowell A. Chick, respondents. ATTORNEYS: Claimants appeared pro se, Williamsville, NY. For Respondents appeared in-house counsel Mitchell Elberg, Esq. DATE FILED: August 7, 2002 CASE SUMMARY: Claimants alleged that they requested a transfer of funds on May 31, 2001 but the transfer did no

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Guillermo Nieto and Case Number: 02-04638 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley DW, Inc. Alfonso Asencio NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Guillermo Nieto ("Claimant") was represented by Randall A. Pullman, Esq., of Stumpf, Craddock, Massey & Pullman of San Anto