NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) MARY F. COLBURN AND PATRICIA A. FORD, ) TRUSTEES FOR THE SARAH A. KEMME TRUSTS ) Claimants ) and ) ) CASE NO. 88-02696 RICHARD A. SARGENT, NEIDIGER, TUCKER, ) BRUNER, INC., AND A.P.S. FINANCIAL CORP. ) ) Respondents ) CASE SUMMARY A. Mary F. Col burn and Patricia A. Ford (Colburn and Ford are collectively referred to herein as "Claima

NATIONAL ASSOCIATION OF SECURITITS DEALERS, INC. In the Matter of the Arbitration Between J. VAUGHN WILSON AND EVELYNt WILSON Claimants ) and ) ) CASE NO. 88-02693 KIDDER, PEABODY AND COMPANY, INC. ) AND SUSAN TOMLINSON ) Respondents ) CASE SUMMARY Estate of J. Vaughn Wilson and Evelyne Wilson ("Claimants") alleged as follows: 1. Susan Tomlinson, a registered representative of Kidder, Peabody & Co., Inc. (Tomlinson and Kidder

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fred S. Cook. Judith Payne Cook, Carmen Margala. Neil Harlacher, Sandra Hariacher, and Marilyn Sherman, Claimants v. All-Tech Investment Group, Inc., Barry Parish, Southwest Securities, Inc. Mark D. Shefts, and Harvey I. Houtkin, Respondents Case Niimher 99-02325 Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents All-Tech investment Gr

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants William and Christine Bridgham Jonathan and Anissa Roy Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael C. Pearson Case Number: 03-01346 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTF.S Claimants, William and Christine

CORRECTED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants John Ogrodnick, BettyAnne Ogrodnick, William C. Smith and Diane S. Smith and Case Number: 03-01255 Hearing Site: Troy, Michigan Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and David M. Barnett NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES John Ogro

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Wachovia Securities, Inc. v. 03-01182 Denver, Colorado Respondent/Counter-Claimant Jamie Engelking Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES Wachovia Securities, Inc. ("Claimant") was represented by William D. Nelson, Esq., of Rothgerber Johnson & Lyons, LLP, Denver, Colorado.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Care Number'- 03-00536 Dan D. Ashouri Shiron Ashouri Latifeh Haghighi Name nf the; Respondents Hearing Site: Washington, DC H&R Block Financial Advisors, Inc. f7k/a OLDE Discount Corporation Mark Joseph Freitag Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTTF.S Claimants, Dan D. Ashouri ("D. Ashouri")

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A. G. Edwards & Sons, Inc. Name of the Respondent Robert Kopstein Case Number: 01-06177 Hearing Site: Richmond, Virginia REPRESENTATION OF PARTTRS Claimant A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant", was represented by Joseph A. Ingrisano, Esq., Kutak Rock LLP, Washington, D.C. Respondent Robert Kopstein, hereinafter

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara Shore 98-02526 Names of Respondents Shochet Securities, Inc. Schroder Wertheim & Co. Inc. For Claimant: Andrew K. Fein, Esq. of Bloch & Minerley, P.L., Boca Raton, Florida. For Respondent Shochet Securities, Inc. ("Shochet"): Neil S. Baritz, Esq. of Shochet Securities, Inc., Boca Raton, Florida. For Respondent Schioder Wertheim & Co., Inc. ("Sch

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael R. Lissack, (Claimant) vs. Salomon Smith Barney, Inc., (Respondent) Case Number: 98-02557 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Michael R. Lissack, hereinafter referred to as "Claimant": Jeffrey D. Robinson, Esq., Baach Robinson & Lewis, Washington, DC. Respondent Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Ira G. Rosenstein