Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07790 Episcopal Diocese of Central Florida Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated Continental Broker-Dealer Corp. William J. Brewster, Jr. John B. Trumbo Name of the Third Party Respondent Earl Pickett Nature of the Dispute: Customer vs. Members and Associated Persons v.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Phyllis Janke v. 02-07762 Minneapolis, Minnesota Respondents U.S. Bancorp Investments, Inc., U.S. Bancorp Piper Jaffray, Inc., a/k/a Piper Jaffray & Company, US Bank Private Financial Services, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Intuitional Securities, L.L.C., and Wells Fargo Bank Minnesota, NA Nature of Dispute: Customer v. Membe

AWARD NASD Dispute Resolution, Inc. In the Matter of Name of Claim; he Arbitration Between Prudential Secmfties Incorporated and 99-02323 Phoenix, Arizona NameofRespor dent Gerard Thoubbi ron REPRESENTATION OF PARTIES Prudential Secwfities Incorporated ( Schubert & Bar "Claimant") was represented by Amy B. Levenson, Esq., Garvey r, P.C., Washington, D.C. Gerard Thoubburon ("Respondent") did not participate in this matter.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita E. Stovall and the Estate of Fred S. Stovall vs. H&R Block Financial Advisors, Inc. and Timothy Romero Case Number: 02-07433 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Anita E. Stovall and the Estate of Fred S. Stovall, hereinafter referred to as "Claimants." Herbert E. Pounds, Jr., San Antonio, Texas. Respondents, H&R Block Financial Advis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06272 Steven J. Haban Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter REPRESENTATION OF PARTIES For Steven J. Haban, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. For Morgan Stanley Dean Witter, hereinafter referred to as "Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00133 AWARD In the Mactar of the Arbitration Between Haeng S. and Cindy S. Ko Claimants vs. T. Geimer Securities Bob Furman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1991, Claimants, Haeng S. and Cindy S. Ko, who appeared Pro Se, alleged that through Respondent Bob Furman they purchased 20,000 shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ~In the Matter of the Arbitration Between Name pf_£laiiignti(s) Eddie B. Scoggin; Robert A. Neilson; John Newman; Mitchell C. Massey M.D., A Professional Medical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan of Reanondentf s\ Legg Mason Wood Walker C. Peck Hayne 90-01566 (consolidated with 90-00960,90-00962 and 90-00764) For Claimants: Eddie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Pia Pines vs. Arbitration Between Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., and Norman Rockoff Respondents X X X X x CASE NO. x 90-01134 X x AWARD x X X CASE SUMMARY Claimant, Pia Pines ("Pines"), alleged that Respondent Norman Rockoff ("Rockoff") recommended that she invest in limited partnerships which were tota

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between ) Jean McNabb Claimant ) ) AWARD vs. ) ) NASD f 90-01132 Shearson Lehman Hutton ) and Dennis Schwary Respondents } OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1990. Claimant alleged that Respondents breached their fiduciary duty in recommending securities that were not suitable to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Shearson Lehman Hutton, Inc. x Claimant x . x CASE NO. vs. x 90-00835 x Burton Block x AHARD x Respondent x ' CASE SUMMARY Claimant, Shearson Lehman Button, Inc. ("Shearson"), alleged that as a result of the market decline on October 19, 1987, it liquidated the securities account of the Respondent, Burton Block (•Block*), in acco