Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimnnt Pagp Numhftr 04-02100 Zoe G. Mavrellis g of the RpgpnnHentg Hearing Site* Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric MacDonnell Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSF.NTAT10N OF PAHTTFS Claimant, Zoe G. Mavrellis, hereinafter referred to as "Claimant", was represented by W. Scott Greco,

k* * Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert L. Guzzino, Claimant v. Fordham Financial Management, Inc., Respondent Case Number: 00-05768 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Robert L. Guzzino, "Claimant": Jack G. Wheeler, Esq., Fraser, Morris & Wheeler, L.L.P., Lake Charles, Louisiana. For Fordham Financial Management, Inc., "Respondent Fordham": Erik P. Weingold, Esq. and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nflmft nfthe riaimant Case Number: 04-02100 Zoe G. Mavrellis Names nf tine. T? fisponHantg Hearing Site- Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Eric MacDonnell Nature of the Dispute: Customer v. Member and Associated Person. KF.PRF.SF.NTATTON OF PARTTF.S Claimant, Zoe G. Mavrellis, hereinafter referred to as "Claimant", was represented by W.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert A. and Lynn E. Sagal and Names nf Respondents Raymond James Financial Services, Inc., _and Raymond James Financial, Inc. Case Number: 04-02099 Hearing Location: Houston, Texas NATTT Customers v. Member Firm and Non-Member O Robert A. and Lynn E. Sagal ("Claimants") were represented by David Bissinger, Esq., Wilson Fulk

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Keegan & Company, Inc. and Name of Respondent Wallace Bradley Minton Case Number: 04-02097 Hearing Site: Louisville, Kentucky NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant" or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., of Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Bruce Houman, MD APC Profit Sharing Plan n/k/a The Urology Center of So. California Retirement Plan, Claimant v. Morgan Stanley DW Inc. and Joshua Wilson, Respondents Case Number: 04-02095 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tVip flairn ants Page Number- 04-02094 Karl M. and Janet Buretz ? r>f tlie T?ftgpnnHRntg Hearing Sitfv Dallas, Texas Morgan Stanley DW Inc. and James H. McNeill NATTTOF. OF TTTF T)TSPTTTF Customers vs. Member Firm and Associated Person RF.PttFSFNTATTON OF PAPTTFS Claimants Karl M. and Janet Buretz, hereinafter collectively referred to as "Claimants)": Alan D. Swee

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Inez L. Gantz v. 04-02092 Minneapolis, Minnesota Respondents Waddell & Reed, Inc. and Janet L. Utech Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Inez L. Gantz ("Claimant") was represented by Richard I. Diamond, Esq., Minnetonka, Minnesota. Waddell & Reed, Inc. ("Waddell") and Janet L. Utech ("Utech

STIPULATE,!) AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant ' : Bradley Bouck and Respondents OldeDiscount Corporation n/k/a H&R Block Financial Advisors, Inc., and James Thomas Falardeau . Case Number: 04-02087 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person . : REPRESENTATION OF F>ARTIES , " , Bradley Bouck (-'Claimant") was represented by Bradf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02079 Homer W. Keifer Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jeffrey G. Hull Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Homer W. Keifer, hereinafter referred to as "Claimant": Owen P. McGill, Esq. and E