NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00592 Carol Ann Brooks, Claimant v. Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc., Respondent. ATTORNEYS: For Claimant, Carol Ann Brooks, ("Claimant"), appeared Mark A. Tepper, P.A., Ft. Lauderdale, FL. For Respondent, Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds, Inc., appeared their in- house counsel, Doreen S. Young, Esq., Sarasota, FL. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christina HofFer-Simpson, Claimant v. Wachovia Securities, Inc., Respondent Wachovia Securities, Inc., Counter-Claimant v. Christina Hoffer-Simpson, Counter-Respondent Case Number: 04-00590 Hearing She: Los Angeles, California Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant / Counter-Respondent Christina H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) ) Name of the Claimant ) Case Number: 04-00588 David J. Heger ) ) Name of ihe Respondent ) Hearing Site: St. Louis, Missouri A.G. Edwards & Sons. Inc. ) MA ° Associated Person v. Member Firm OF J. Christopher Wehrle, Esq. of the law firm Goldberg Wehrle, LLC, located in St. Louis, Missouri represented Claimant, David J. Heger ("Heger"), hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ames of the Clai Paul Smith Judy K. Smith Names nf the Respondents Wachovia Securities, LLC Craig M. Fielding 04-00585 Hearing Site,: Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRRSRNTTATTON OF PARTTKS Claimants, Paul Smith and Judy Smith, hereinafter collectively referred to as "Claimants", were represente

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Charles J. and France B. Hollis Names of the Respondents American General Securities, Inc. Allstate Financial Services, Inc. Leroy Jack Smith Case Number: 04-00562 Hearing Site: Mobile, Alabama Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Charles J. and France B. Holl

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC f/k/a First Union Securities, Inc. vs. Name of Respondent Terry D. Thomas Case Number: 04-00560 Hearing Site: Omaha, Nebraska NATURE QF CASE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC, ftk/aFirst Union Securities, Inc., ("Wachovia") was represented by Diane C. Fis

STIPULATED A WARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John A. Tumpich and Phyllis Tumpich and 04-00552 Chicago, Illinois Name of Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporations and Robert Michael Widman, Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John A. Tumpich and Phyllis Tumpich ("Claimants") were repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William G, Hill Linda P. Hill J. Mathews Pound Celia H. Pound Names of the Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Chloe L. Dekle Case Number: 04-00550 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William G. Hill ("W. Hill"),

Award NASD Dispute Resolution In the Matter of the Artjitration Between: Harvey T. Biddle, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Roger W. Waldenstrom, Respondents Case Number: OQ-0£58J7 Hearing She: San Francisco, California For Claimant: For Respondents: REPRESENTATION OF PARTIES Howard M. Hoffman, Esq. Sacramento, California Ben Suter, Esq. Keesal, Young & Logan San Francisco, California CASE INFORMATI

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: James F. Johnson vs. Michael Bernard Mclaughlin, Sr., Bernard, Lee & Edwards Securities, Inc. and Oron J. Unger Case Number: 04-00544 SITUS: Indianapolis, Indiana NATURE OF DISPUTE: Customer v. Terminated Member, Associated Person and Non- Member Person REPRESENTATION OF PARTIES: James F. Johnson, hereinafter referred to as "Claimant": A. Daniel Woska, Esq., of the law firm