Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Chen, individually and as Custodian for Peter Chen, and John Chen, Claimants v. E*Trade Securities, Inc., Respondent Case Number: 00-03762 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: G. Mark Brewer, Esq. The Brewer Law Firm La Jolla, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel O'Brien, as Trustee for his Self-Employed Pension Plan and the O'Brien D.D.S., P.S., Profit-Sharing Plan, and Todd Krekow, Claimants v. Dain Rauscher, Incorporated and Wayne Josephson, Nelson Civello and Linda Henderson, Respondents. Case Number: 00-03031 Hearing Site: Seattle, WA I. REPRESENTATION OF PARTIES For Claimants: John A. Bender, Jr., Esq. Holland & Kn

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothea Egarian, (Claimant) vs. Salomon Smith Barney, Inc., Richard Defuccio, and Joseph Leidy, (Respondents) Case Number: 00-01959 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorothea Egarian, hereinafter referred to as "Claimant": Christopher Brennan, Esq., Smith, Buss & Jacobs, LLP, New York, NY. Respondents, Salomon Smith Barney, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fidelity Brokerage Services, Inc. Case No. 00-01878 Name of Respondent Enos S. Villanueva REPRESENTATION OF PARTIES For Fidelity Brokerage Services, Inc., hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Law Office of Laurence K. Richmond & Associates, Inc., Quincy, Massachusetts. Enos S. Villanueva, hereinafter referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert C. Logan Christine A. Logan Case No. 00-1799 Name of Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Tim Damis REPRESENTATION OF PARTIES Claimants Robert C. and Christine A. Logan ("Mr. & Mrs. Logan") were represented by Robert C. Logan located in Bartlett, Illinois. Respondent H&R Block Financial A

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Eric L. Goldstein, (Claimant) vs. First Colonial Securities Group, Inc., Larry Katz, John M. Croce, and Correspondent Services Corporation, (Respondents) Case Number: 00-01199 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Eric L. Goldstein, hereinafter referred to as "Claimant": Thomas J. Fleming, Esq., Olshan Grundman Frome Rosenzweig & Wolos

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00618 John E. Lugaresi, Claimant vs. Edward L. Bates, and Great American Financial Network, Inc., Respondents. ATTORNEYS: Claimant appeared Pro Se, Westerly, RI. Respondents did not respond to the Statement of Claim. DATE FILED: 00-00618 CASE SUMMARY: Claimant alleged that respondent Great American Financial Network, Inc., made a single unauthorized trade of 3100 shares of Grea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Diep Q. Le and Tarn M. Le, Respondents Case Number: 01-02486 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Gary L. Holmes, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California For Respondents: Richard Sacks Securities Arbitration Consultant Novato, California CASE INFORMATION S

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig M. Ririe (Claimant) v. American Funds & Trusts Incorporated (Respondent). Case Number: 00-05344 REPRESENTATION OF PARTIES For Claimant Craig M. Ririe, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Goodman & Nekvasil, PA, 14020 Roosevelt Blvd., Ste. 808, P.O. Box 17709, Clearwater, FL 33762 For Respondent American Funds & Trusts Incorporated,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey T. Scymanski, (Claimant) vs. A.G. Edwards & Sons, Inc., Lawrence B. Lawson, and Brian J. McCafferty, (Respondents) Case Number: 00-03960 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey T. Scymanski, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practitioner, Morristown, NJ. Previously represented by: Albert A. Rapo