Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Miller, individually and as Trustee for BEK Marketing Services, Inc. (Profit Sharing Plan) (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald Barter, Mark Alton, & David Capraro (Respondents). Case Number: 03-04236 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peggy Dempe and Peggy Dempe, IRA (Claimant) v. Fahnestock & Co., Inc., Josephthal & Co., Inc., and Andrew Kevlahan (Respondents) Case Number: 03-04232 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Peggy Dempe ("Dempe") and Peggy Dempe, IRA ("Dempe IRA*') hereinafter collectively referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04229 William F. Vogelbaugh, Claimant vs. H&R Block Financial Advisors, Inc., and Charles Williams, Respondents. ATTORNEYS: For Claimant appeared Barbara L. Wolf, Esq., Fort Lauderdale, FL. For Respondents, H&R Block Financial Advisors, Inc. and Charles Williams appeared in-house counsel, Lisa S. Fildes, Esq., Detroit, MI. DATE FILED: June 10, 2003 ~~ NATURE OF CLAIM: Customer v. Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel E. Homan, Claimant v. Morgan Stanley DW Inc. and Barry M. Speyer, Respondents Case Number: 03-04227 • Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondents: Mukya S. Porter., Esq, Morgan Stan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 03-04225 Vernon R. Parseli Trust and Mary P. Parsell Trust Name of Respondents Hearing Site: Charlotte, NC Legg Mason Wood Walker, Incorporated and Mike Halpern Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Vernon R. Parsell Trust and Mary P. Parsell Trust, hereinafter referred to

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gerald and Patricia Szymanski and Respondents Multi-Financial Securities Corporation, Economic Financial Services, and Ronald Lloyd Williamson Case Number: 03-04224 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Gerald and Patricia Szymanski ("Claimants") we

Award NASD Dispute Resolution In the Matter of the Arbitration Between: _e of th? ^Iflirpf^it Pflgp >Jiim1->pr- 01-01445 Stevo Matic : nf fhp! p^Rprmrlftntc; Hiring S 1 ^' Milwaukee, Wisconsin Gregg M. Becker; Robert Symonds, Jr.; Antonio Costanzo; Andre V. LaBarbera; Joseph S. Sapienza; John Stracquadanio; Diane Healey; Renee Scuderi; and Tasin & Company, Inc. pF.ppir.STr.NT A^ ° Claimant Stevo Matic, hereinafter referred to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and Mary Arnold, Claimants, Case Number- 03-04221 Hearing Site: Indianapolis, Indiana v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Ronald A. Hollinger, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph and Mary Arnold ("Arnold"), hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard M. Burton Teresa O. Burton James A. Burton Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Ronald J. Hebert Case Number: 03-04220 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Richard M. Burton ("RMB"), Teresa O.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garrett Superannuation Fund, Tymstand Pty Ltd., Individually and as Trustee of the Garrett Family Trust, Jammjack Pty Ltd., Individually and as Trustee of the Garrett Superannuation Fund, Rodney Joseph Garrett a/k/a Tom Garrett, Lanstone Nominees Pty Ltd., Individually and as Trustee of the Barry Fry Superannuation Fund and The Barry Fry Superannuation Fund (Claimants) v. Morgan Wilshir