Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Schiano IRA (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Ken Mathieson (Respondents) Case Number: 03-01650 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Claimant Patricia Schiano IRA ("Schiano") hereinafter referred to as "Claimant": David E. Robbins,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants The Estate of William Gathen, a Protected Person, by its Conservator, Jon B. Munger, Esq. and the Elizabeth Gathen Trust, by Stephen Albery, Trustee and Case Number: 03-01646 Hearing Site: Southfield, Michigan Names of Respondents National Financial Services LLC Securities America, Inc., Ronald Harczak, Jeffrey Antonette, and Karen Muithaup NATU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec (US) Incorporated (Claimant) v. David Karlin (Respondent) Case Number: 03-01633 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Investec (US) Incorporated ("Investec") hereinafter referred to as "Claimant": Joseph DaProcida, Esq., Investec (US) Incorporated, New York, NY. The previous Claimant, Max

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names fifths Claimants Case Number; 03-01628 Leonard May Diane May Names nf the KespnnHpnts Hearing Site; Philadelphia, PA Legg Mason Wood Walker, Inc. Robert W. Hoey George D. Eggers, IE Nature of the Dispute: Customers v. Member and Associated Persons. KKPRFSF.NTATTON OF PARTTFS Claimants, Leonard May and Diane May, hereinafter collectively referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01624 Martha Liliana Asher Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Martha Liliana Asher, hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For Morgan Stanley

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael N. King & Associates Profit Sharing Plan and Michael N. King as Trustee of the Michael N. King & Associates Profit Sharing Plan Names of the Respondents Katrina Bowers, Invest Financial Corporation and National Financial Services Corporation Case Number: 03-01623 Hearing Site: Atlanta, Georgia Nature of the Dispute: C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf. flai'mant Case Number 03-01622 Charles Sacks Name nf the ttesponffent Hearing Site! Washington, DC Victor Rivas Nature of the Dispute: Customer vs. Associated Person RFPKF.SF.NTATTON OF PARTTF.S Claimant, Charles Sacks "Claimant", was represented by Barry RosenthaL, Esq., Bromberg Rosenthal Siegel & Goodman, LLP, Rockville, Maryland. Respondent, Victor Rivas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01621 Nora Kreger Names of the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert J. McKiernan Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Nora Kreger, hereinafter referred as "Claimant", was represented by Roger A. Johnsen,

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Name of the Claimant Case Number: 03-01618 Chris T. Viertel Name of the Respondent Hearing Site: Boca Raton, Florida E*Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Chris T. Viertel ("Viertel") appeared pro se. For E*Trade Securities LLC ("E*Trade"), hereinafter referred to as "Respondent": John Bersin, Assistant Gene

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-4476 Thomas A. MusiL, Claimant vs. David Thompson and H&R Block Financial Advisors, Respondents. ATTORNEYS: Claimant, Thomas A. Musil ("Claimant"), appeared Pro Se, St. Paul, MN. For Respondents, David Thompson and H&R Block Financial Advisors ("Respondents"), appeared H&R Block Financial Advisors, Inc-.'s in house counsel. Lisa S. Fildes, Detroit, Ml. DATE FILED; October 9, 2000,