STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark A. Leach and Jana P. Leach and Names of Respondents H&R Block Financial Advisors, Inc. and Ronald J. Marszalek Names of Claimants Robert W. Pittan and Barbara J, Pittan and H&R Block Financial Advisors, Inc. and Ronald J. Marszalek Case Number: 03-03707 Hearing Site: Chicago, Illinois Consolidated with: Case Numbe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant f!flse Number: 03-03706 Stephen K. Ryan Name, nf the Respondents Hearing Site: Washington, D C Legg Mason Wood Walker, Incorporated Shawn P. McLaughlin Nature of the Dispute: Associated Person vs. Member and Associated Person RFPRF.SF.NTATTON OF PARTTRS Claimant, Stephen K. Ryan ("Claimant"), was represented by Mark C. Hayes, Esq., Carter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Paul Kelly CaseNiimhet" 03-03705 Name of the Prudential Equity Group, LLC Joseph Patrick Brennan Rees Truman Harris Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RF.PRF.SRNTATTON OF PARTTRS Claimant, Paul Kelly ("Kelly"), hereinafter referred to as "Claimant", was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03702 Stifel, Nicolaus & Co., Inc., Claimant v. Gary D. Sullivan, Respondent. ATTORNEYS: For Claimant, Stifel, Nicolaus & Co., Inc., ("Claimant"), appeared Peter R. Sonderby, Chicago, IL. Respondent, Gary D. Sullivan, ("Respondent"), did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 20, 2003 CASE SUMMARY: Claimant alleged that Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03700 Thomas A. Pashos, Claimant vs. Doug Parker, Respondent. ATTORNEYS: Claimant, Thomas A. Pashos, ("Claimant"), appeared pro se, Tucson, AZ. For Respondent, Doug Parker, ("Respondent"), appeared Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: May 20, 2003 CASE SUMMARY: Claimant alleged that Respondent did not follow his instructions, and improperly liquidated his 14 Invesc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anke Rice and Anke Rice and Jens Gad JTWROS (Claimants) v. Prime Charter LTD.; Michael Hal Silverman; Mark Alan Hauser; Fahnestock & Co., Inc. (Respondents) v. Vincent J. Franzone (Third-Party Respondent) Case Number: 01-01340 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Claimants Anke Rice ("Rice")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Lewis, James Ascher, Irma Ascher, Irma Ascher IRA, and Barbalan Corporation (Claimants) v. Investec Asset Management U.S. Limited, York Securities, U.S. Clearing Corporation, and Brown & Company Securities Corp., n/k/a JP Morgan Invest, LLC., (Respondents) Case Number: 03-03697 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Member and Members. REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 03-03696 Mary Mack Richard Mack Names nf the Respondents Hearing Site: Richmond, VA American Express Financial Advisors, Inc. Peter A. Ramsay Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Mary Mack and Richard Mack, hereinafter collectively referred to as "Claimants", were re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Terranova, Arlene Terranova, and Shelly Steggs, JT, Thomas Terranova IRA, Arlene Terranova ERA, and Shelly Steggs IRA (Claimants) v. Morgan Stanley DW, Inc. and Louis Licata (Respondents) Case Number:03-03695 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Terranova, Arl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03689 Janice Shindel-Styles, Individually and as Joint Trustee with Lee Lysne of the Jan Shindel Trust Account Names of the Respondents Hearing Site: Tampa, FL Charles Schwab & Co., Inc. Raymond James Financial Services, Inc. SunAmerica Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For