STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Darryl Hastings and Susan Hastings and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation, and James T. Falardeau Case Number: 02-06054 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Darryl Hastings and Susan Hastings ("Claimants") were repr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, Inc. Case Number: 02-06053 Name of the Respondent Hearing Site: Oklahoma City, Oklahoma Grant E. Burget Nature of the Dispute: Member and Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, Inc. (Claimant) was represented by Douglas D. Callaway, Esq. Wachovia Securities, Inc., Richmond, Virginia.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v 02-06052 Denver, Colorado Respondent Steven P. Jensen REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Douglas Callaway, Esq., of Wachovia Securities, Inc., Richmond, Virginia. Steven P. Jensen ("Respondent") did not appear. CASE INFORMATTON The Statement of Claim was filed on or about O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna Partenope (Claimant) v. James Niedzwiecki, David Clapp, Reich & Co., Inc., First Montauk Securities Corp., Cantone Research, Inc., and Sharpe Capital, Inc. (Respondents) Case Number: 02-06047 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Donna Partenope ("Partenope") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald L. Edwards (Claimant) v. Ehrenkrantz King Nussbaum, Inc. and Dimitrios (Jimmy) Aivaliotis (Respondents) Case Number: 02-06046 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ronald L. Edwards ("Edwards") hereinafter referred to as "Claimant": Michael R. Schmidt, Esq., Cohen, Todd, Kite, &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Howard and Nancy Goldfaden and Names of Respondents RBC Dain Rauscher, Inc. Charles R. Federman and Steven J. Kus Case Number: 02-06036 Hearing Site: Troy, Michigan NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Howard and Nancy Goldfaden ("Claimants") were represented by Joel H. Kaufman, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Schwartz, Claimant v. JP Morgan H&Q/Chase Securities, Inc. aka JP Morgan Securities, Inc., Terence J. Creighton, Jr., and Mary K. Foust, Respondents Case Number: 02-06035 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Ira P. Rothken, Esq. Rothken Law Firm San Rafael,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Bizzell and Annie Jacob, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Andrew C. Anagnostou, Respondents Case Number: 02-06034 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Booker, Booker Gery Hickman 401(k) Profit Sharing Plan, Gary J. Gery, James E. Hickman and Bonnie Booker, Claimants vs. Naomi Monschein and Monschein and Associates LLC, Respondents Case Number: 02-06032 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Associated Person and Non-Member REPRESENTATION OF PARTIES For Claimants: John E. Cassinat, Esq.

'; ' r Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06030 Khadija Derrhi Names of the Respondents Hearing Site: Boca Raton, Florida Ken Kielbania Ryan, Beck & Co. Nature-of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Khadija Derrhi ("Derrhi"), hereinafter referred to as "Claimant": William S. Isenberg, Esq., Isenberg