Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norbert E. Hegge Trust, Norbert E. Hegge, Trustee, Cynthia Keisling, and Cynthia Keisling IRA (Claimants) v, Tracy Barker, John McCabe, and McDonald Investments (Respondents) Case Number: 03-05998 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Norbert E. Hegge Trust, Norbert E. Hegge, T

Award NASD Dispute Resolution COPY 3n the Matter of the Arbitration Between: Steven R. Peabody, Claimant v. Lance J. Johnson, Respondent Lance J. Johnson, Counter-Claimant v. Steven R. Peabody, Counter-Respondent Case Number: 03-05995 Hearing Site: Portland, Oregon Nature of Dispute: Associated Person v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Steven R. Peabody InProSe Springfield, Oregon For Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Haden Joseph Bourg and Name of Respondents SunAmerica Securities, Inc., and Susan A. Wester Case Number: 03-05992 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Haden Joseph Bourg ("Claimant") was represented by Conroy Bourg of Nederland, Texas. SunAmerica Securities,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Joseph C. Verdone Declaration of Trust, Joseph C. Verdone, TTEE and Name of Respondent H&R Block Financial Advisors, William Clayton Stroup, and Lucas C. Johnson Case Number: 03-05991 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Claimant v. Member and Associated Persons. REPRESENTATION OF PARTIES The Joseph C. Verdone Declaration

Award NASD In the Matter oTthe Arbitration Between: Name of the Claimant Case Number: 01-01627 Celso Amaral Names of the Respondents Hearing Site: Boca Raton, Florida Stockton Equities Group Jonathan David Doneson Todd Ames Ernest Michael Ruotolo, Jr. Roberto Mangiearano Steven Carini REPRESENTATION OF PARTIES For Celso Amaral, hereinafter referred to as "Claimant": John Caparell, Law Office of John Caparell, San Diego, Californi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Efrain E. Cardenas-Zavala and Efrain Cardenas-Reyes Case Number: 03-05989 Hearing Site: Houston, Texas Citigroup Global Markets, Inc. and Carlos Alvarado, Jr. NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Efrain E. Cardenas-Zavala and Efrain Cardenas-Reyes ("Claimants") were represented by Thom

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants George E. Baker and Kathleen D. Baker v. 03-05988 Denver, Colorado Respondents Raymond James Financial Services, Inc., and Fred L. Dowd Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES George E. Baker and Kathleen D. Baker ("Claimants") were represented by Steve A. Miller, Esq., of Steve A. Miller, P.C., D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Nanci K. DeLong and Case Number: 03-05985 Hearing Site: Troy, Michigan Respondents Morgan Stanley DW, Inc., Jacqueline A. Antone, James G. Riley, Theodore J. Vogt, Jr., and Fifth Third Securities, Inc. NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Nanci K. DeLong ("Claimant") was represented by Peter A. Patters

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Ciluaga, LaBerta Ciluaga, and Cynthia Eberline-Ciluaga, Claimants v. Morgan Stanley DW Inc. and Stephen D. Wile, Respondents Case Number: 03-05982 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dennis M. Chamey, Esq. Attorney and Counselor at Law Boise, Idaho For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05981 James A. Booker, Sr., Thelma M. Booker, and James A. Booker, Jr. JNT, Claimant v. Wells Fargo Investments, LLC and Richard D. Byrd, Respondents. ATTORNEYS: Claimant, James A. Booker, Sr., Thelma M. Booker, and James A. Booker, Jr. JNT, ("Claimant"), appeared pro se, Slidell, LA. For Respondents, Wells Fargo Investments, LLC, and Richard D. Byrd, ("Respondents"), appeared Mark S. Fl