Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joan J. Cantor Rodney H. Jaeger Names of the Respondents Intersecurities, Inc. W.S. Griffith & Co. Craig S. Galatas Manulife Financial Securities, L.L.C. Case Number: 02-05387 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joan J. Cantor

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Basil Nemer vs. Case Number: 02-05379 Hearing Site: Detroit, Michigan Merrill Lynch Pierce Fenner & Smith, Inc. and Robert M. Dagenais NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Basil Nemer ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schuitz & Herbst, Troy, Mich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of Claimant / • William A. Watson , , Case Number: 02-05364 i Name of Respondents J.J.B. Milliard, W.L. Lyons, Inc. And Frederic Lamar Dupree III Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant, William A: Watson, hereinafter referred to as "Claimant": Kevin G. Henry, Esq., of the firm Sturgill, Turner, Barker & Moloney, PLLC, Lex

Award nnnii NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Donald Stephen Clark and Andrea Jeanette Clark, JTWROS and John M. Gustafson, as Trustee of the Clark Charitable Remainder Trust, Claimants v. E*Trade Securities, Inc., Respondent Case Number: 00-04003 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Darvy Mack Cohan, Esq. Law Office of Darvy Mack Cqhan La Jolkj California For Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Douglas and Lisa Brocail and Case Number: 02-05361 Hearing Site: Houston, Texas Names of Respondents AXA Advisors, LLC, and Scott E. Brocail NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Douglas and Lisa Brocail ("Claimants") were represented by Nelson Ebaugh, Esq., Zimmerman, Axelrad, Meyer, Ster

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants George and Margaret Nelson and Names of Respondents H&R Block Financial Advisors, Inc., and Jason Gronski Case Number: 02-05359 Hearing Site: Kansas City, MO NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES George, and Margaret Nelson ("Claimants") were represented by Diane Av Nygaard, Esq., T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05355 Richard L. Rush Name of the Respondent Hearing Site: Boca Raton, FL Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard L. Rush, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florida. For Prudential Securities, Inc., hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05354 Legg Mason Wood Walker, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia The Delta Group, Inc. Chris Winter REPRESENTATION OF PARTIES For Legg Mason Wood Walker, Inc. ("Legg Mason"), hereinafter referred to as "Claimant": Jason W. Gaarder, Associate General Counsel, Legg Mason, Baltimore, Maryland. Respondent The

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Octavio Leon Socorro J. De Leon Myriam Leon Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick!. Dwyer Peter G. Amendolair Case Number: 02-05353 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Octavio Leon, Socorro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna Cialino and The Anna Cialino Trust (Claimants) v. Wall Street Financial Group, Inc. and Bruce Whitman (Respondents) Case Number: 02-05346 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Anna Cialino and The Anna Cialino Trust ("the Trust") hereinafter referred to as "Claimants": Richard