NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02521 Conrad Mershon, Janet M. Mershon and Turbines Int'l, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants, Conrad Mershon, Janet M. Mershon and Turbines Int'l, ("collectively Claimants"), appeared Eddie Easa Farah, Esq., of the firm Farah, Farah & Abbott, P.A., Jacksonville, FL. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., (

Stipulated Award NASD Dispute Resolution In the Matter of the Aibitration Between: Nftrqe nfthr flnirnant Q.SR Number 04-02515 Robert F. Manning . , , . . Names' fifth* R^gpfinrfuntii Wmmng Situ: Philadelphia, PA Leo and Marie Downey Nature of the Dispute: Associated Person vs. Customer*. Claimant, Robert F. Manning, hereinafter referred to as "Claimant", was represented by Lee 1 A. Rosengard, Esq., Stradley, Ronon, Stevens & Young LLP, Phil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of the Respondent Missouri Shawn Benson Casejsiumber: 04-02509 Hearing Site: Kansas City, NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Renan I. Sugarman, Esq., of the firm Renan Sugarman, PC located in Chicago, Illinois, represented Claimants Wachovia Securities, LLC (Wacho

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v. 04-02496 Minneapolis, Minnesota Respondent Thomas W. Ottman Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois, Thomas W. Ottman ("Respondent") or ("Ottman") was represented by Adam A. Gillette, Esq., of

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00007 Blanche Y. Davis Names of the Respondents Hearing Site: Little Rock, AR A.G. Edwards & Sons, Inc. Michael Sullivan REPRESENTATION OF PARTIES For Blanche Y. Davis, hereinafter referred to as "Claimant": Brad L. Karren, Esq., Reeves & Karren, P.A., Bentonville, AR. For Respondent A.G. Edwards & Sons, Inc. ("AGE"): William S. Port, Vice President and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Hazan v. 04-02494 Denver, Colorado Respondents SunAmerica Securities, Inc., and Robert Richard Wheeler Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES David Hazan ("Claimant") was represented by Douglas A. Wolkin, Esq., of Deagle & Wolkin, P.C., Parker, Colorado. SunAmerica Securities, Inc. ("SunAmeri

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Leona M. Polczinski and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation and James Francis Hayes Case Number: 04-02493 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Leona M. Polczinski ("Claimant") was represented by David J. Hase, Esq., Cook &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Vilardo, Claimant v. Kenneth Himes and Lydia Wang Himes of the Himes Family Trust, Respondents Case Number: 04-02483 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Brian T. Hafter, Esq. Steefel, Levitt & Weiss, PC San Francisco, California For Respondents: L. Louis Rar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02478 Patricia R. Yellen, for the benefit of her IRA Barry B. Yellen, for the benefit of his IRA Cinetel Corporation, Barry B. Yellen as President Cinetel Corporation Defined Benefit Pension Plan, Barry B. Yellen, Trustee Arnold T. Schwab Charitable Remainder Unitrust UAD 7/15/96, Barry B. Yellen, Trustee Arnold T. Schwab Living Tru

Stipulated Award NASD Dispute Resolution In th_e Matter of the Arbitration Between: Name of the Claimant HeritageBank of the South Names of the Respondents James Hendricks Morgan Keegan & Company, Inc. Case Number: 04-02473 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For HeritageBank of the South ("Heritage"), hereinafter referred to as "Claimant": Kimberl