&ASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01871 John J. Patino, (Claimant) vs. H&R Block Financial Advisors, Inc., (Respondent) ATTORNEYS: " Claimant appeared pro se, Warren, ML For Respondent appeared in-house counsel, Lisa S. Fildes, Esq., Detroit, ML NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent gave him poor recommendations regarding the sale of his Apple

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01870 Gussie Ann Savoca, (Claimant) vs. Wachovia Securities, LLC and John Kevin Lynch, (Respondents) ATTORNEYS: For Claimant appeared Jill Gross, Esq., of John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Derek C. Anderson, Esq., of the firm Michaels & Ward, LLP, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01869 S. Spencer Grin, IRA, (Claimant) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Delray Beach, FL. For Respondent appeared in-house counsel, Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent made an unauthor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01863 Robert A. Roth, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, (Respondent) ATTORNEYS: For Claimant appeared Anthony Hearn, Yardville, NJ. For Respondent appeared in-house counsel Stuart T. Rebish, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2005 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claire Germano (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and John Crooks (Respondents) Case Number: 05-01858 Hearing Site: Boston, Massachusetts Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Person. Cross-Claim: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Claire Germano hereinafter referred to as "Claimant": Kevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rljrimant f!agfi Number- 05-01839 Mark A. Kockler Name nf th^ PfgpnnHfint Hearing Ritp- Washington, D.C. McLean Securities, LLC Nature of the Dispute: Associated Person vs. Member. RFPRFSFNTATTON OF PARTTRS Claimant, Mark A. Kockler, hereinafter referred to as "Claimant", was not represented by counsel and appeared pro se. Respondent, McLean Securities, LLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Butts and Janice Butts, Claimants v. Piper Jaffray & Co. and Patrick G. Howell, Respondents Case Number: 05-01814 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: In Propria Persona Fresno, California For Respondents: Benjamin W. White, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Natalka Lazirko Farrell (Claimant) vs. Summit Equities, Inc. (Respondent) Case Number: 05-01811 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Natalka Lazirko Farrell hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Mitchell H. Cobert, Attorney at Law, Morristown, NJ. Respondent Summit Equities, Inc

i Award NASD Dispute Resolution In the Matter of the Arbitration Between: f"1fliinants Cape Ni 1Tn frffl" 01-00525 KimberlyA, Riddlesperger and Clay L. Riddlesperger Schneider Securities, Inc.; and Bradford D. Lingle Hearing Sitf St. Louis, Missouri BFPPF.SF.TVT ATTON OF PAPTTF.S Claimants Kimberly A. Riddlesperger and Clay L. Riddlesperger ("Claimants") were represented by Charles A. Seigel, HI, Esq., of Siegel & Wolff, P.C. wit

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between Name of Claimant Ameritrade, Inc. and Name of Respondent SPFivehundred, Inc. Case Number: 05-01807 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Ameritrade, Inc. ("Claimant") was represented by Patrick B. Griffin, Esq., Kutak Rock LLP, Omaha, Nebraska. SPFivehundred, Inc. ("Respondent") did not make an appear