Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hans G. Franke, Claimant v. Wells Fargo Bank, N.A., Douglas Evans, and Amanda Weitman, Respondents Case Number: 03-06253 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Non-Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Ronald E. Miller, Esq. Jeff Dennis Ferentz, Inc. Newport Beach, California Ronald E. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eileen Ann Anderson TTEE Mary M. Simpson 1990 Revocable Living Trust, Claimant v. Financial West Group and Patrick J. Sahli, Respondents Case Number: 03-06252 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement, Inc. San Francisco, Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Wykoff Family Trust dtd 10/30/89, Claimant v. Edward D. Jones & Co., Respondent Case Number: 03-06250 Hearing She: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William P. Torngren, Esq. Law Offices of William P. Torngren Sacramento, California For Respondent: Sandra B. Galling Esq. Greensfelder, Hemker &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herbert and Lorraine Sahar, Claimants, v. Jeffrey M. Christenat and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 03-06249 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: David N. Bruce, Esq. Savitt & Bruce LLP Seattle, Washington For Respondents: Robert B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jerry P. Sellers, Jr. Susan Sellers Jerry P. Sellers Names of the Respondents Morgan Keegan & Company, Inc. Jamie Montz Case Number: 03-06246 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry P. Sellers, Jr., Susan Sellers, and Jerry P. Sellers, hereinafte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ; Central Brevard Radiology SEP FBO Jeffery S. Araj Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Terry Tolbert Phua Young James D. McCall Case Number: 03-06245 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Central Brevar

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gene W. Tobin and 01-01650 Dallas, Texas Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Gene W. Tobin ("Claimant") represented himself. Ameritrade, Inc. ("Respondent") was represented by James Vihstadt, Esq. of Ameritrade located in Bellevue, Nebraska. CASE INFORMATION The Statement of Claim was filed on or about April 3,2

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce E. Allen, as the Personal Representative of the Estate of Brent D. Brockman and 03-06238 Omaha, Nebraska Name of Respondents Broker Dealer Financial Services Corp. d/b/a BDF Investments Michael T. Sherzan David E. Kernen Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Bruce E. Allen, as the Persona

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Sam Salman and Muntaha Yono and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation and Ralph T. Albers Case Number: 03-06232 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Sam Salman and Muntaha Yono ("Claimants") were represented by David S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fred G. Kluglein Case Number: 03-06231 Names of the Respondents Citigroup Global Markets, Inc. Nadav Baum Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Fred G. Kluglein, hereinafter referred to as "Claimant", was represented by Peter B. S