Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William M. Fitzpatrick ' Names of the Respondents AXA Advisors, L.L.C. Karr Earth Associates Inc. Matthew Frisch Case Number: 04-03039 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person. i REPRESENTATION OF PARTIES Claimant, William M. Fitzpatrick, hereinafter r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the Claimant r.ase Number 01-00059 Craig Allen Dejean and TaniaDejean Name nf the Respondents Hearing Site: Houston, Texas Bane One Securities Corp. and Bane One Texas, N. A. PARTTVS Claimants, Craig Allen DeJaen hereinafter collectively referred to as "Claimants": Todd W. LeBlanc Esq., Attorney at Law, located in Beaumont, Texas. Respondents, Bane One Secu

. Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eudaldo Suarez Silvia Suarez Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Spinale Case Number: 04-03034 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Eudaldo Suarez and Silvia Suarez, hereinafter collectively referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jean D. Kennedy TTEE U/A Dtd 4/27/98 and Jean D. Kennedy, Individually and Names of Respondents A.G. Edwards & Sons, Inc. and Bret D. Salomon Case Number: 04-03032 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Jean D. Kennedy TTEE U/A Dtd 4/27/98 and Jean D. Kenne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03027 Raymond and Winona Dubois, (Claimants) vs. WM Financial Services, Inc., (Respondent) ATTORNEYS: For Claimants appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, L.L.P., Kingwood, TX. For Respondent appeared Andrew R. Harvin, Esq., of the firm Doyle, Restrepo, Harvin & Robbins, L.L.P., Houston, TX. NATURE OF DISPUTE: Customers vs. Member ,* DATE FILED: April 19, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Bernstein and SB Investment L.P. (Claimants) v. H & R Block Financial Advisors and Craig Hassell (Respondents) Case Number: 04-03025 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Stanley Bernstein ("Bernstein") and SB Investment L.P. ("SB"), hereinafter collectively referred to as "

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Josephine Frawley Living Trust and Respondents H&R Block Financial Advisors, Inc., and Craig F. Wisbiski Case Number: 04-03018 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Josephine Frawley Living Trust ("Claimant" or "the Trust") was represented by John J. Frawley,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC And Case Number: 04-03017 Hearing Site: Chicago, Illinois Name of Respondent Victor Dwojacki a/k/a Victor David Greco NATURE OF DISPUTE Member v. Associated Persons REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant 1 ) or ("Wachovia") was represented by Renan Sugarman, Esq., of Renan Sugerman P.C., loca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Mortimore, Case Number: 04-03016 Claimant, Hearing Site: Milwaukee, Wisconsin v. GunnAllen Financial, Inc., Joseph P. Ratti, Phil Michals, and Mary Gunn, Respondents. GunnAllen Financial, Inc., Phil Michals and Joseph Ratti, Third-Party Claimants, v. Charles J. Kerns, Sr., Parsons Financial, LLC, Kautilya Sharma and Geek Securities, Inc., Third-Party R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. Douglas Charles Eilwood (Respondent) Case Number: 04-03010 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC ("Wachovia") hereinafter referred to as "Claimant": Robert Scremin, Esq., previously Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL.