NASD AWARD NASD Regulation, Inc. Office of Dispute Resoluticm In the Matter of the Arbitration Between Name of Claimants Villy and Alii Labidas Name of Resoot^denf/f FahiMstock & Co., Inc. Roseann Edith Laurelli Johnson 97-04204 Claimants, Viily and Aili Labidas ("Claimants") were represented by Charles W. Boohar, Jr., , St. Davids, PA. Respondents Fahnestock & Co., Inc. ("Fahnestock") and Roseann E. Johnson ("Johnson") were represented by

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimante Theodore Krause and Patricia A. Hovorka 97-04824 Name of Respondents Thomas Petropoulos Sterling Foster & Company. Inc. REPRESENTATION For Claimants Theodore Krause ("Krause") and Patricia A. Hovorka ("Hovorka"), collectively "Claimants", appeared James Dolan, Esq., a sole practitioner with offices located in Garden City, New York. Respondent Thomas

Jan-07-2004 04:2$piii From-NASD AWARDS +2128584389 T-357 P.002/006 F-502 Award NASD l>lspute Resolution in the JVlauer of ihe Arbinaiion Between: Jonathan Lesnik. (Claimant) vs. Richard W. Stopa and Franit OePasquale, (Respondents) Case Niffnben 01-06533 Hearing Site: New York. New York REPRESENTATION OF.fi^JlES Clairoani, Jonathari Lesnik, hereinafter referred to as "Claimant" appeared pro se. Previously represented hy: Mitchell H. Cotien, Esq., a sole p

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04850 Joseph E. Fischer, Jr. and David P. Christoff (Claimants) vs. Steven Ogata and Transamerica Financial Advisors, Inc. (Respondents) ATTORNEYS: Claimants Joseph E. Fischer, Jr. and David P. Christoff ("Claimants") appeared pro se, St. Louis, MO. For Respondents Steven Ogata and Transamerica Financial Advisors, Inc. ("Respondents") appeared Joseph C. Coates, III, Esq., of the lawfimri G

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03512 Verlon Hall, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Frank A. Stickland, respondents. ATTORNEYS: For Claimant appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin Papantonio Thomas Mitchell Echsner & Proctor P.A., Pensacola, Fl. For Respondents appeared Julie L. Wilson, Esq., of the firm Maynard, Cooper 8c Gale, P.C, Birmingham, AL. NATURE OF DISPUTE: Cust

^J''!!^-;i:^^lJ^i^^ - N-^SD DISPUTE RESOLUTION ^...^^^^ Award NASD Di6{Hiie Resolution In ttie Matter of the Aibitration Between: Nmnft ofJffm Claimant Caisn Nmnhrac 03-01111 ^GkiUlLessin Nmnf. nf ttiB R wprmdwritu Hearing Sitfi: Waahin;.;ton, DC MwiUl Lynch, Pierce, Fenner & Smith, fine. BtettS.Bonstdin Nature of tihe Dispute: Customer v$. Member and Associated Pi»son. BRPRRSBNTATTON OF PARTIES Oairoant, ^fichael Lessin "Claimant*', was repre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Cas&Numhec 02-04186 Rose M. Shervin Name of the Re.spnndents Hearing SitR- Philadelphia, PA H&R Block Financial Advisors, Lac. f/k/& Olde Discount Corporation Robert Aceto REPRESENT ATTON OF PARTTFoS Claimant, Rose M. Shervin, hereinafter referred to as "Claimant", was represented by Douglas R. Lally, Esq., Attomey at Law, Jenkintovra, Pennsylvania.

STIPULATED AWARD THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter Of The Arbitration Between: Dean M. Bach, NASD Arbitration No. 00-03772 Claimant, OLDE Discount Corporation and Ronald Albers, Respondent. REPRESENTATION For Claimant: Michael D. Bishop, Esq., Law Offices of Booth Patterson, Walerford, Michigan For Respondents: David T. Doyle, Esq., m-house counsel for H&R Block Financial Advisors, Inc.. formerly OLDE D

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant John A. Zeder and NASD Case Number: 95-02476 Name of Respondents Bently-Lawrence Securities, Inc.; and Wanda Warsinski REPRESENTATION OF PARTIES Claimant John A. Zeder appeared pro se. Respondent Bently-Lawrence Securities, Inc. was represented by Richard L. Coskey, President of Bently- Lawrence Securities, Inc. located

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS Claud E. Morgan, Claiinant, ^' No. 95-02512 A.G. Edwards & Sons, Inc., Respondent. REPRESENTATION OF PARTIES Claud E. Morgans ("Claiinant") was represented by Ralph T. Hudgens of Hull, GA. {"Respondent") was represented by cllli^ Ik Ta^^Ar'''^'' ^'^^ President, Litigation^ CASE INFORMATION The Statement of Claim was filed OH or about May 24, 1995. Claimant's Submission