Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel F. Sweet (Claimant) v. Fulcrum Global Partners, LLC Harry Needleman. Raymond James Financial Services, and Raymond James & Associates (Respondents) Case Number: 02-04136 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel F. Sweet ("Sweet") hereinafter referred to as "Claimant": J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Soma S. Awa and Nagaveni J. Awa vs. H&R Block Financial Advisors, Inc., Jeffrey Gutheil and Damn Polomsky Case Number: 02-04134 Hearing Site: Cincinnati, Ohio Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Soma S. Avva and Nagaveni J. Awa, hereinafter referred to as "Claimants." Paul W. Thomas, Carlsbad, California.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Hermanson (Claimant) v. Thomas J. Hine, Walter J. Kelly, Jr., and Kelly Financial Group, LLC (Respondents) Case Number: 02-04133 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Eric Hermanson ("Hermanson") hereinafter referred to as "Claimant": Stephen H. Solomson, Esq., O'Connell, Flah

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fariborz Rafael, Claimant v. TT> Waterhouse Investor Services, Respondent Case Number: 02-04118 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Sandy Passman, Esq. Passman & Cohen Los Angeles, California For Respondent: William M. Turner, Esq r Jones, Bell, Abbott, Fleming & Fitzgerald, LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04113 Salomon Smith Barney, Inc. Names of the Respondents Hearing Site: Atlanta, Georgia Gary B.Meyers BlaineP. Hess Name of the Third Party Respondent Michael L. Bolen Nature of the Dispute: Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTTF^ For Salomon Smith Barney, Inc. ("SSB"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fi nf the PTaimfmt Case Number: 02-04111 Richard C. Jandura, Jr. ' nf the Respondents A.G. Edwards and Sons, Inc & and Hearing Sit< v Chicago, Illinois Chris T. Pavlou Claimant Richard C. Jandura, hereinafter referred to as "Claimant": Robert W. Smith of Burke Costa & Cuppy LLP, located in MerriJlville, Indiana. Respondents A.G. Edwards and Sons, Inc., hereinafter referred to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02819 Gary J. Schwartz and Patricia L. Schwartz, Claimants vs. PNC Brokerage Corp., and Richard Montgomery, Respondents. ATTORNEYS: For Claimants Gary J. Schwartz and Patricia L. Schwartz ("Claimants") appeared Arnold Y. Steinberg, Esq., Pittsburgh, PA. For Respondents, PNC Brokerage Corp., and Richard Montgomery ("Respondents") appeared Amy J. Greer, Esq., of the firm Klett Rooney

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen Pichel (Claimant) v. Sartena Securities, Inc., Oscar Gruss & Son, Inc., and Gil Sartena (Respondents) Case Number: 02-04107 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Karen Pichel ("Pichel") hereinafter referred to as "Claimant": Martin J. Siegel, Esq., New York, NY. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elisabeth de Lacugo Erker, Claimant v. A.G. Edwards & Sons, Inc. and Michael A. Brandt, Respondents Case Number: 02-04106 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: Elizabeth de Lacugo Erker In Pro Per Nagano, Japan For Respondents: Nuviah ShirazL, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Initial Statemen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francisco Breach, Case Number: 02-04105 Claimant, vs. Merrill Lynch, Pierce, Fenner & Smith Inc., and Martin Nesbitt Hearing Site: Dallas, Texas Respondents. ° Public Customer v. Member Firm and Associated Person Claimant Francisco Breach, hereinafter referred to as "Claimant," was represented by Mr. Steven C. James, 521 Texas Avenue, El Paso, Texas 79