Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Martin J. Mazur Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Brian Sepe, Robert E. Graham, Thomas Lydon, and Joseph P. Gannotti Case Number: 01-01586 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Martin J. Mazur ("Mazur") was represented by Keven S. Besetzny, Esq. of the firm Novoselsky Law Off

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bradley E. Allen v. Barren Chase Securities, Inc. Case Number: 00-741 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Bradley E. Allen, ("Allen"), hereinafter referred to as "Claimant": Steven P. DeVolder, Esq., Lewis, Webster, Johnson, Van Winkle & DeVolder, Des Moines, Iowa. Respondent, Barron Chase Securities, Inc. ("Barren Chase"), hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Da-Chen Shieh, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Chentien "Bruce" Lo, Respondents Case Number: 03-05498 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Mi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Bryant and Billie Bryant, individually and Trustees of the Bryant Living Trust, Claimants v. Bane of America Investment Services Inc. and Debra M. Corti, Respondents Case Number: 03-05497 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC v. Names of Respondents CGF Securities, LLC Brian J. Schuster Rebecca L. Engle and Counter-Claimant Brian J. Schuster v. Counter-Respondent Wachovia Securities, LLC Case Number: 03-05495 Hearing Site: Omaha, Nebraska and Counter-Claimant Rebecca L. Engle v. Counter-Respondent Wachovi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Case Number: 03-05493 Hearing Site: Houston, Texas Name of Respondent Ruben Mercado NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson & Grannum, in Northvale, New Jersey.

.AWARD : NASD Dispute Resolution In the Matter of the Arbitration Between Claimant EdwardS. Hurwitz and Respondents H&R Block Financial Advisors, Inc., and Ben Geller Case Number: 03-05492 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES . . . . . . . - • , • . - • t 11 ) was represented by Jarnes R.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant r.ast» Number; 03-05485 Marion Goldstein Names nf the Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW Inc. and Robert Smith Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSF.NTATION OF PARTIFS Claimant Marion Goldstein ("Goldstein"), hereinafter referred to as "Claimant", was represented by Steven M. Dranoff,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Doyle Barentine Eva Lena Barentine Total Comfort Heating & Air Doyle Barentine, IRA Eva Lena Barentine, IRA Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen D. Hawkins Case Number: 03-05482 Hearing Site: Little Rock, AR Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05480 Herbert Carrington, Sr. Herbert Carrington, Jr. Name of the Respondent Hearing Site: Tampa, FL The Huntington Investment Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert Canington, Sr. and Herbert Canington, fr., hereinafter collectively refened to as "Claimants": Joseph A. Probasco, Es