NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02962 H&R Block Financial Advisors, Inc., claimant vs. Daryl G. Mayfield, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondent did not submit a response to the Statement of Claim. DATE FILED: June 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his margin account. Claim Data Award

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madine S. Ringley, by Lillian P. Diedrich, Attorney-in-Fact 94-00862 Name of Respondents Roney&Co.; James Buehler REPRESENTATION For Claimant: Madine S. Ringley, by Lillian P. Diedrich, Attorney-in-Fact ("Ringley") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson, located in Troy, Mic

NASD Arbitration No. 94-00852 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Robert A. Warfield Name of Respondent(s) Chatfield Dean & Co., Inc. William Emerick, III REPRESENTATION For Claimant: F. Mike Shaffer, Esq., Gordon, Thomas, Honeywell, Malanca, Peterson & Daheim, Tacoma, Washington For Respondent Chatfield Dean & Co., Inc.: Christa D. Taylor, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *. Name of Claimants Ann Meyer, C.F/Christine Meyer Ann Meyer, C.F/Cyril Meyer, HI 94-00850 Name of Respondents Advest, Inc. Randell Miles REPRESENTATION f For Claimant Ann Meyer, Ann Meyer as custodian for Christine Meyer and Ann Meyer as custodian for Cyril Meyer, m ("Claimants"): P. Kevin Ford, Esq. of the law firm of Ford, Klaph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *. In the Matter of the Arbitration Between Name of Claimant Ralph Tedesco 94-00848 Ffame of Respondent Philip Emsberger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Ralph Tedesco, who appeared Pro Se, alleged that Respondent Philip Emsberger misrepresented the value of the security TREAT INTERNATIONAL ENTERPRIS

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimanj Vina B. Walker, Personal Representative of the Estate of Vina B. Legault and 94-00843 Name of Respondent Waddell & Reed, Inc. REPRESENTATION OF PARTIES Vina B. Walker, Personal Representative of the Estate of Vina B. Legault ("Claimant") was represented by Jeffrey J. Scott, Esq., Krys, Boyle, Golz, Reich, Freedman, Bean & Scott,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Garth R. Zeigler, Claimant, v. NASD No. 94-840 Kidder Peabody, Inc., Michael O'Connell, Does 1 through 20, inclusive, Respondents. Representation For Claimant: Joseph Gibb, Esq., Indian Wells, California For Respondents: William Phelps, Esq. of Kidder Peabody, Los Angeles, California Case Information Statement of Claim filed: March 2,1994 Cl

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between • Rob Kimbrough, Glenn Mocek and Meleesa Mocek and NASD Case Number 94-00838 Oppenheiner & Company, Inc. and Kip Herriage REPRESENTATION OF PARTIES Claimants, Rob Kimbrough, Glenn Mocek and Meleesa Mocek, were represented by Gary S. Gunn, Esq. of Gunn & Holt, P.C. located in Houston, Texas. Respondents, Oppenheimer & Company, Inc. and Kip Herriage, w

X NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant NASD Arbitration Laureen E. Lynch No. 94-00837 v. Name of Respondents Linsco/Private Ledger Corp. Marjorie Adams REPRESENTATION For Claimant: John L. Hilts, Esq., Irvine, California For Respondents: Paul I. Hamada, Esq., Keesal Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed: March 3,1994

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Norman Tregenza 94-00836 Name of Respondents Steven Ropas J.W. Bullaid & Co. CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Norman Tregenza, through his representative, Steven S. Weiss, Esq., New York, NY, alleged that Respondents J.W. Bullard & Co. ("Bolla