Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' Case Number: 03-02965 David M. Morton Names of the Respondents Hearing Site: Tampa, Florida H&R Block Financial Advisors, Inc., f/k/a Olde Discount Corporation George V. Ryan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David M. Morton, hereinafter referred to as "Claimant": John A. Colton, Esq., D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02961 Theodore Bauer Theodore Bauer IRA Rollover Theodore R. Bauer Trust dtd 12/09/99 Eileen Bauer Eileen Bauer IRA Rollover Eileen Bauer Trust dtd 12/09/99 Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. William Smathers Gary Bray Nature of the Dispute: Customer vs. Member and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven B. Cox David P. Cox Thomas E. Cox Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick James Dwyer William Kenneth Bruce II Case Number: 03-02959 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTES For Steven B. Cox, D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimants Aaron Kaye and Margaret Kaye and 03-02954 Phoenix, Arizona Name of Respondents Bane One Securities Corp. Nancy K. Smith • Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Aaron Kaye and Margaret Kaye ("Claimants") appeared pro se. Bane One Securities Corp. ("Respondent Bane One") and Nancy K. Smith ("R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Blain Trust, by and through its Successor Trustees, The Estate of Claude A. Blain, by and through its Executor, and Serge Blain, Marc Blain, Charles Blain, and Philippe Blain, in their capacity as designated beneficiaries of the Blain Trust, the Estate of Claude A. Blain, and the accounts known as LPL account numbers 03-02949 1263-0686, and 1392-5065 Dallas,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hoffer Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc., Spencer W. Beard and Gerard Oliver, Respondents Case Numbe^: 01-01244 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Barry J. MacNaughton, Esq. Karina B. Sterman, Esq. Ervin, Cohen & Jessup LLP Beverly Hills, California For Respondents: Todd A. Zuckerbrod, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John C. Brice and Names of Respondents Bane One Securities Corporation and Nina Kallabat-Daiza Case Number: 03-02946 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John C. Brice ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula- Stein, Esq., An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant H. Jerry Longley, Ph.D Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Stephen C. McCannon Case Number: 03-02945 Site: Albuquerque, New Mexico NATTTRF OF Customer vs. Member Firm and Associated Person KFPRFSFNTATTON OF PARTTFS Claimant, H. Jerry Longley, Ph.D, appeared pro se in this matter. Brett D. Sherman, Esq. of

MftY-13-2004 01 : 03 PM OTTftWA.U. FINANCIAL. AID 602 74 S> 5141 F' . 13 1 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Ericksen and 03-02944 Phoenix, Arizona Name of Respondents Charles Schwab & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENT A N O F Robert Ericksen ("Claimant") appeared prose. Charles Schwab & Co., Inc. ("Respo

11/21/2005 08:27 FAX NASO 0002/009 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Shapoor Ansari. M.D., Individually and as Trustee of the Monroe Clinic Pension & Profit Sharing Plan and Case Number 03-02941 Hearing Site: Troy, Michigan Respondents H&R Block Financial Advisors, Inc. f/k/a OLDE Discount Corporation and Joseph D. Sheeran NATURE OF DISPUTF Customer v. Member and Associated 1