Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Tufts, Jr. (Claimant) v. Liberty Funds Distributor, Inc. (Respondent) Case Number: 03-03222 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Peter A. Tufts, Jr. ("Tufts") hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine Call and Gary Call (Claimants) v. John Coscia, Dieter Huber, Royal Alliance Associates, Inc., Prime Capital Services, Inc., Coleman & Co. Securities, R.D. White & Co., Inc. and First Montauk Securities Corp. v. Gary Call (Third-Party Respondent) Case Number: 03-03221 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith, Incorporated Name of the Respondent Jeffrey D. Windes Case Number: 03-03212 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Incorporated, hereinafter referred to as "Claimant": Patric

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03211 Ronald D. Eckhoff and Laura E. Eckhoff Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lunch, Pierce, Fenner & Smith, Inc. Kevin B. Adkins Nature of the Dispute: Custojiiervs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald D. Eckhoff and Laura E. Eckhoff, hereinafter collect

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne L. Britz Merrill Lynch, Pierce, Fenner & Smith, Inc. and James W. Lewis r- 03-03209 t p -' Dallas, Texas OF TWF Public Customer v. Member Firm and Associated Person Claimant Wayne L. Britz, hereinafter referred to as "Claimant": Jeffrey I. Nicodemus, Esq. of the firm of Cowles & Thompson, located in Dallas, Texas, Respondents Merrill Lynch, Pierce, Fenn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert F. LiVoIsi and Susan K. LiVoIsi and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Harold Benkoski Case Number: 03-03208 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert F. LiVoIsi and Susan K. LiVoIsi ("Claimants") were represented by M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Marcia Olson and Respondents H&R Block Financial Advisors, Inc., and Michael Stern Case Number: 03-03207 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Marcia Olson ("Claimant") was represented by Michael Pitt, Esq., and Beth M. Rivers, Esq., Pitt, Dowty, McGehee & P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Brown, Claimant v. Sterling Financial Investment Group, Inc., Alan Marcum, Alexis Korybut, and Robert Levitt, Respondents Case Number: 03-03204 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona For Respondents: Richard B. Simring, Esq. Stroock & Stroock & Lava

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Internet Technologies, Inc. and Reindeer Investment Holdings, Ltd. (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) v. David E. Walsh, PSA, Inc., and David Loewenstein (Third-Party Respondents) Case Number: 01-01270 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Internet Technologies, Inc. ("Internet Technologies") and Reindeer Investm

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03203 Scott W. Syverson, Claimant vs. Piper Jaffray Inc./US Bancorp Piper Jaffray, Inc., Respondent. ATTORNEYS: "~ Claimant appeared pro se, Kennewick, WA. Respondent appeared in-house counsel, Mark S. Reed, Esq., Minneapolis, MN. DATE FILED: May 1, 2003 ARBITRATOR'S REPORT: Rule 10304 of NASD Code of Arbitration provides for a six-year time limitation for submission. However, it also pr