STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark Alan and Maureen Simon and Names of Respondents H&R Block Financial Advisors, Inc., Jeremy J. Wangerin, and GaryB. Dunco Case Number: 02-06404 Hearing Site: Milwaukee, Wisconsin NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Mark Alan and Maureen Simon ("Claimants") were represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manual S. Andrade and Vivian Andrade, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul J. Lukas, and Denise M. Lukas, Respondents Case Number: 02-06398 Hearing Site: San Diego, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Steven B. Lehat, Esq. Law Office of Steven B. Lehat Irvine, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Fogiia, Claimant v. Joseph Michael Araiz, the Concord Equity Group, LLC, Imperial Capital, LLC, Ladenburg, Thalmann & Co., Inc. and M.J. Whitman, Inc., Respondents. Case Number: 02-06396 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant: Thomas Wilinsky Biancone & Wilinsky, LLP 230 Park Avenue, 26 th Floor New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry G. Wilson, Claimant v. Select Capital Corporation n/k/a London Pacific Securities, Inc., Hoyle-Donnelly and Associates, and Herbert Ross Hein, III, Respondents Case Number: 02-06394 Hearing Site: San Diego. California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Henry G. Wilson In Pro Per Vista

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06393 Catherine Houle, Executrix of the Estate of Salvatore Saccheri Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Catherine Houle, Executrix of the Estate of Salvatore Saccheri, hereinafter referred to as "Claimant": Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Catherine Houle, Executrix of the Estate of Salvatore Saccheri Name of the Respondent A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member Case Number: 02-06393 Hearing Site: Orlando, Florida OF PARTS For Catherine Houle, Executrix of the Estate of Salvatore Saccheri, referred to as "Claimant": Richard A. Stephens, Esq. and Br

AWARD NASD Dispute Resolution Li the Matter of the Arbitration Between Claimant Joseph A. Vento v. 02-06391 Denver, Colorado Respondent Quick &Reilly, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Joseph A. Vento ("Claimant") appeared pro se. Quick & Reilly, Inc. ("Respondent") was represented by Matthew S. Diggins, Esq., of Quick & Reilly, New York City, New York until a Notice of Appearance was filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lino and Rozanne Oriella, Rozanne Zingale Oriella, individually, Rozanne Z. Oriella, Custodian for Isabella Laura Oreilla UTMA/OH, and Rozanne Z. Oriella, Custodian for Marco Joseph Orieila UTMA/OH, Claimants Vs. Morgan Stanley Dean Witter, and Sidhartha Ranjan Sen, Respondents. Case Number: 00-04111 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06390 Manfred and Kathleen Heinrich Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. And Gregory C. Sarian Hearing Site: Philadelphia, PA Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Manfred and Kathleen Heinrich, hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Averill and Linda A. Averill, Claimants v. U.S. Bancorp Piper Jaffiay, Inc. n/k/a Piper Jaflfray & Co., Respondent Case Number: 02-06387 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member Firm REPRESENTATION OF PARTIES For Claimants: Jeffrey C. Grant, Esq. Helsell Fetterman LLP Seattle, Washington For Respondent: Curt Hineline, Esq.