Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marc A- Schoen Names of the Respondents R. K. prace & Company John Kaweske Cardinal Capital Management, Inc. Cardinal Capital Net, Inc. Case Number: 02-07020 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Marc A. Schoen, hereinafter ref

r Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07017 Gregory P. Hopkins, Individually Gregory P. Hopkins IRA Hopkins Enterprises, Inc. Dinny F. Hopkins IRA Gregory D. Hopkins IRA Tiffany J. Hopkins IRA Brittney E. Hopkins IRA Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities, Inc. Marc Gendell Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Carol A. Finnegan Names of the Respondents Stifel, Nicolaus & Co., Inc. Century Securities Associates, Inc. John Bergeron Steve Plauche Case Number: 02-07016 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Carol A. Finnegan, hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07014 Seymour Eisen Names of the Respondents * Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Robert Wasserman Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Seymour Eisen ("Eisen"), hereinafter referred to as "Claimant": Philip J. Feldman, Esq., Feldman & Getz, LLP

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William G. Glenn on behalf of William G. Glenn IRA Trust and as beneficial interest holder of Glenn Family Trust and 02-07013 Phoenix, Arizona Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Henry M. Blodget Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES William G. Glenn on behalf of

Stipulated Award NASD Dispute Resolution In the-Matter of the Arbitration Between: Seymour "Sy" Rubin, Claimant v. Sonny H. Mike and Wells Fargo Investments, LLC, Respondents Case Number: 02-07005 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION QF PARTIES For Claimant: Richard D. Brady, Esq. Richard D. Brady, LLC Tacoma, Washington For Respondents: Robert T. Sullwold, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04166 H&R Block Financial Advisors, Inc., claimant vs. Ejirochene Akpotu and Cynthia Collins, respondents. ATTORNEYS: For Claimant appeared Robert M. Visconti, Esq., of the Collections Department of H & R Block Financial Advisors, Detroit, MI. Respondents did not respond to the Statement of Claim. DATE FILED: September 21, 2000 CASE SUMMARY: Claimant alleged that respondents fai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terrie Schumann (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Andrew B. Elsoffer (Respondents) Case Number: 02-07003 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Terrie Schumann ("Schumann") hereinafter referred to as "Claimant": Douglas A. Kutsko, Esq., Brian P. Biggi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07002 Inez S. Tornblom, IRA, claimant vs. Fidelity Investments, respondent ATTORNEYS: Claimant appeared pro se, Elgin, IL. For Respondent appeared in-house counsel Colleen A. Hankins, Esq., Boston, MA. DATE FILED: November 19, 2002 CASE SUMMARY: Claimant alleged that respondent placed her after tax savings in a taxable IRA account. Claimant further alleged that she had to pay taxes on a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07001 American Express Financial Advisors, Claimant vs. Wen Ling Lo and Sam Y Mak, Respondents. ATTORNEYS: Claimant, American Express Financial Advisors, ("Claimant") appeared through its in-house counsel Anthony Gericke, Minneapolis, MN. Respondents, Wen Lin Lo, and Sam Y Mak, (collectively "Respondents") appeared through Paul S. Moore, Esq., Nashua, NH. DATE FILED:November 19, 2002