AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ' Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 02-5815 • '• ' " .'. and • • i i i , • • Name of Respondents , Jose M. Rizo and Nivia Rizo Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES ' :' Claimant, Merrill Lynch Pierce Fenner & Smith, Inc., (hereinafter referred to as "Claimant") was represented by Jacqueline P. Ulin Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven G. Franks and *• 02-05814 Phoenix, Arizona Name of Respondent Ameritrade, Inc. Successor-in-interest to Datek Online Financial Services, L.L.C. REPRESENTATION OF PARTIES Steven G. Franks ("Claimant") was represented by Garry N. Keister, Esq., Golston Keister & Steen, P.L.C., Tempe, Arizona. Ameritrade, Inc. Successor-in-interest to Datek Online

Award NASD Dispute Resolution In the Matter of the Arbitration Between: TSfamenf the riaimant rasp. Number- 02-05813 Mountain States Mutual Casualty Company Name of the. Respondent Hearing .Site! Albuquerque, New Mexico UBS Financial Services Inc. Customer vs. Member Firm OF John J. Kelly, Esq. of the law firm Modrall, Sperling, Roehl, Harris & Sisk, P.A. located in Albuquerque, New Mexico, represented Claimant, Mountain States Mutual Casualty C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Andrew F. and Olga M. Hinderliter Case Number: 02-05812 Hearing Site: Houston, Texas and Names of Respondents Citigroup Global Markets, Inc. and Charles Warren ("Chip") Caprez NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Andrew F. and Olga M. Hinderliter ("Claimants") were represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Garnett M. Pampell and the Estate of Alfred E. Pampell and Case Number: 02-05811 Hearing Site: Houston, Texas Names of Respondents H&R Block Financial Advisors, Inc., and James L. Porter NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Garnett M. Pampell and the Estate of Alfred E. Pampell ("Claimants")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles J. Cernansky and Sharon L. Burley, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 00-04054 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Charles J. Cernansky ("Cernansky") and Sharon L. Burley ("Burley"), hereinafter collectively referred to as "Claimants": Leonard Weintraub, Esq., Paduano & Weintraub LLP,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Andrew K. Alepra and 02-05810 Louisville, Kentucky Name of Respondents Edward D. Jones & Co. Joe M. Turner Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Andrew K. Alepra ("Claimant") was represented by Rodney J. Heggy, Esq., Day, Edwards, Propester & Christensen, P.C., Oklahoma City, Oklahoma. Edwar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Frederick C. Rieck and 02-05809 Phoenix, Arizona Name of Respondents Jefferson Pilot Securities Corporation Polaris Financial Services, Inc. Gerald L. Rosanbalm Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Frederick C. Rieck ("Claimant") appeared pro se. Jefferson Pilot Securities Corporation ("Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Adam Reback (Respondent) and Richard P. Barnett and Adam J. Reback (Claimants) v. Fahnestock & Co., Inc. (Respondent) and Fahnestock & Co., Inc. (Claimant) v. Richard P. Barnett (Respondent) Case Numbers: 02-05807 (consolidated w/02-06041 and 02-06249) Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth E. Palmer IRA, Sandra Palmer IRA, Kenneth E, Palmer Trust, Sandra Palmer Trust, and Mt. Auburn OB/Gyn Pension Plan #b/o Kenneth Palmer (Claimants) v. Morgan Stanley DW, Inc., Thomas Cams, Peter Bouley, and Debra Brown (Respondents) Case Number: 02-05806 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIE