Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Christopher B. Smith Susan L. Smith Melinda Smith Fox Name of the Respondent Charles Schwab & Co., Inc. Case Number: 03-08164 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christopher B. Smith ("CBS"), Susan L. Smith ("SLS") and Melinda Smith Fox ("MSF*), hereinafter collectively

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Skolnlck vs. H&R Block Financial Advisors, Inc. A.G. Edwards and Brian Lopez Case Number 03-08159 Hearing Site: Chicago, Illinois H Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Claimant, Kenneth Skolnick ("Skolnick"), hereinafter referred to as "Claimant": John J. Muldoon, III, Esq., Muldoon & Muldoon, PC., Chicago, Illinois.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Saul Rothberger (Claimant) v. Janney Montgomery Scott, LLC, MetLife Investors USA Insurance Company, MetLife Investors Distribution Company, and First MetLife Investors Insurance Company (Respondents) Case Number: 03-08147 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Saul Rothberger ("Rot

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John and Carol Battilana (Claimants) v. Morgan Stanley DW, Inc. and Albert R. McCauslahd (Respondents) Case Number: 03-08146 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants John and Carol Battilana hereinafter collectively referred to as "Claimants": Dan Druz, Esq. Manasquan, NJ.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret Ann Furman, Individually, and for Ashley B. Furman, and the Estate of Samuel E. Furman (Claimants) vs. Robert Fagenson, Fagenson & Co., Inc., and Van Der Moolen Specialists USA, LLC. (Respondents) Case Number: 03-08145 Hearing Site: New York, New York. Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION OF PARTIES Margaret Arm Furman Indiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John B. Redman IRA Name of the Respondent Merrill Lynch, Pierce, Fenner and Smith Incorporated Case Number: 01-06309 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For John B. Redman IRA, referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Merrill Lynch, Pierce, Fenner and Smith

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adele Safran and Lloyd Safran (Claimants) v. Josephthal & Co., Inc., Roger Bacon, John Ramos, Dennis Gilligan, Jonathan Barrie, Ray Brandor and John West (Respondents) v. Michael Hirsch (Third-Party Respondent) Case Number: 01-06300 Hearing Site: New York, New York Nature of Dispute: Customers vs. Member and Associated Persons; Member vs. Associated Person REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas Edward Conlan Name of the Respondent Wedbush Morgan Securities, Inc. Case Number: 01-06299 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Thomas Edward Conlan, hereinafter referred to as "Claimant", appeared pro se. For Wedbush Morgan Securities, Inc., hereinafter referred to as "Respondent": Judy Louies, Esq., Wedbush Morgan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fop Plaimant Paqp; Number: 01-6296 Don E. McLeod Site- Washington, DC Josephthal & Co., Inc. and its successor in interest, Fahnestock & Co., Inc., Christopher K. Somers RFPRFSF^TATTON OF PAPTT1T.fi Claimant, Don E. McLeod ("McLeod"), hereinafter referred to as "Claimant", was represented by \V. Scott Greco, Esq. and Frederick D. Greco, Esq., Greco &, Greco, P.C., McL

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Imaginative Business & Marketing Ltd., (Claimant) vs. Laidlaw Global Securities, Inc. and Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation, (Respondents) Case Number: 00-01646 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Imaginative Business & Marketing Ltd., hereinafter referred to as "Claimant": Joel A. Chernov, Esq., Dreier & B