Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Hall (Claimant) v. UBS Financial Services, Inc. (Respondent) Case Number: 04-03474 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jerry Hall hereinafter referred to as "Claimant": Michael C. Deutsch, Esq., Singer Deutsch, LLP, New York, NY. Respondent UBS Financial Services, Inc. hereinafter referred to as "Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne F. Sone and Linda J. Sone, Claimants v. Citicorp Investment Services, Respondent Case Number: 04-03469 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Celeste Chiaramonte, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: John C. Steele, Esq. Zelle Hoffman Voelbel Mason & Gette, LLP L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Brenda Exline v. 04-03461 Denver, Colorado Respondents ABD Financial Services, Inc., ABD Insurance and Financial Services, Inc., Rothman Marks, Inc., Rothman Marks Portfolio Management, L.L.C., Rothman Marks Charter Fund, L.P., and Dairyl Clark Marks Nature of Dispute: Customer v. Member, Non-Members and Associated Person REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03453 Raymond James & Associates, Inc., Claimant v. Jeanne Hill, Respondent ATTORNEYS: For Claimant Raymond James & Associates, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James & Associates, Inc., St. Petersburg, FL. For Respondent Jeanne Hill ("Respondent") appeared Natly Torres-Alvarado, Esq., of the firm Knott, Consoer, Ebelini, Hart & Swett, P.A., Ft. Mye

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Laurena Poole Name of the Respondent PFS Investments, Inc. Number! 04-03447 Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Laurena Poole, hereinafter referred to as "Claimant", was represented by Celeste M. Chiaramonte, Esq., Woska & Hayes, LLP, Kingwood, Texas. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dianna Azbill and 04-03438 Kansas City, Missouri Name of Respondents UMB Scout Brokerage Services, Inc. National Financial Services, LLC Fidelity Management Trust Co. Name of Third Party Respondent Lora Lee Dudley Individually and As Personal Representative of the Estate of Lloyd Lee Hatfield Nature of the Dispute:' Customer vs. Members and No

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03428 Charlotte Seltzer Carl H. Seltzer Name of the Respondent Hearing Site: Orlando, Florida Calton & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charlotte Seltzer and Carl H. Seltzer, hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyderburn, Rishoi &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03425 LaTonya McLaughlin The Estate of Maurice R. McLaughlin Name of the Respondent Hearing Site: Memphis, TN Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For LaTonya McLaughlin and The Estate of Maurice R. McLaughlin, hereinafter collectively referred to as "Claimants": John T. Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael K. Plambeck Name of the Respondent Olde Discount Corporation n/k/a H&R Block Financial Advisors, Inc. Nature of the Dispute: Customer vs. Member Case Number: 01-00094 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Michael K. Plambeck, referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton

Award NASD Dispute Resolution In the Matter of the Arbitration Between:. Name of the Claimant Adele S. Roth IRA FBO Adele S. Roth Names of the Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James M. Raduvolic, Sr. Case Number; 04-03416 ing Site- Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTIES Claimant, Adele S. Roth IRA FBO Adele S. Roth, hereinafter referred