NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06506 Richard P. and Lillian B. Bachman, claimants vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimants appeared pro se through Richard P. Bachman, Gulf Breeze, FL. For Respondent appeared in-house counsel, Gregory M. Scanlon, Esq., San Francisco, CA. DATE FILED: October 29, 2002 CASE SUMMARY: Claimants alleged that he invested in AT&T CDA Inc., a bond respondent recommended. Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc. (Claimant) vs. Michael A. Conti (Respondent) Case Number: 02-06503 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc. hereinafter referred to as "Claimant": John T. Fitzgerald, Esq., in-house counsel, Boston, MA. Respondent Michael A. Conti her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink, Swann, Garritv, Sollami, Yaffc & Wynn, Inc. Case Number: 02-06502 vs. Jason D. Smith Hearing Site: Boston, MA f Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Leerink, Swann, Garrity, Sollami, Yaffe & Wynn, Inc., hereinafter referred to as "Claimant": John I. Fitgerald, Esq., Leerink, Swann & Company, Boston, MA. Respondent, Jason D. Smith,

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04120 Donald P. McDermott Names of the Respondents Hearing Site: Boca Raton, FL Salomon Smith Barney, Inc. and Marvin Froot REPRESENTATION OF PARTIES For Donald P. McDermott, hereinafter referred to as "Claimant," appeared pro se. For Respondents Salomon Smith Barney, Inc. ("SSB") and Marvin Froot ("Froot"), hereinafter collectively referred to as "Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Angelo Barrera & Rosalina J. Barrera JTWROS Rickie Crawley & Angelo Barrera JTWROS Ashley Magee Angelo Barrera Jennifer Crawley Maria I. Barrera Naomi Barrera Rosa J. Johnston & Angelo Barrera JTWROS Name of the Respondent E*Trade Securities, LLC Case Number: 02-06497 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Joyce Stern as Executrix of the Estate of Estelle Blanks Names of the Respondents Wachovia Securities, Inc. f/k/a First Union Brokerage Services, Inc. Marva Cedeno Case Number: 02-06492 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joyce Stern a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06490 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Steven F. Fondo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc. ("H&R"), hereinafter referred to as "Claimant": Kathleen A. Dedenbach, Assistant General Counsel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - 02-06486 Harriet Raskin ttf»spoTulf*ntft Hiring Sjtp- Dallas, Texas Bear, Stearns Securities Corp.; Josephthal & Co., Inc.; Frank L. Harris, HI N ATTTRTT OF THF DTSPTTTF Public Customer v. Terminated Member Firm } Member Firm and Former Associated Person PARTTFS Claimant Harriet Raskin, hereinafter referred to as "Claimant": William M. Ravkind, Esq., of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Isadore April Name of thf. Respondents Walnut Street Securities, Inc. and Marc A. Weisman Case Number: 02-06483 Site: St. Louis, Missouri NAT1TRF Customer vs. Member Firm and Associated Person OFPPTTFS Stuart R. Berkowitz, Esq. of the law firm Platke and Berkowitz, LLP located in St. Louis, Missouri represented Claimant, Isadore April, h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Emily Buxbaum Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Alan Taxman Case Number: 02-06481 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Jack Fishman, Esq. of The Fishman Law Firm, P.C. located in St. Louis, Missouri represented Claimant, Emily Buxbaum, hereinafter referred to as "Claimant." Daren A. L