NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07945 Beverly P. Head, III, Claimant v. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: For Claimant, Beverly P. Head, III, ("Claimant"), appeared Brian V. Cash, Esq., of the firm Miller, Hamilton, Snider & Odom, L.L.C., Birmingham, AL. Respondent, Charles Schwab & Co., Inc., ("Respondent"), appeared through its in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. NATURE OF D

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Owen R. Hardy and M. Deanne Hardy (Claimants) v. Excel Securities & Associates, Inc., Darryl Klimowski, and Terrence P. Britt (Respondents) Case Number: 03-07936 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Owen R. Hardy ("O. Hardy") and M. Deanne Hardy ("M. Hardy") hereinafter coll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Barbara Haigh Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated Case Number: 03-07932 Hearin£ Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Barbara Haigh, hereinafter referred to as "Claimant": Wm. Jemison Mims, Jr., Esq. and B. Kristian W. Rasmussen, Esq., Levin, Papa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: EVEREN Securities, Inc., Claimant vs. Hasan Ibrahim, Respondent. Case Number: 00-01597 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, EVEREN Securities, Inc. ("EVEREN"), hereinafter referred to as "Claimant": Kenneth C. Mennemeier, Esq., Mennemeier, Classman & Stroud LLP, San Francisco, California Respondent, Hasan Ibrahim, hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07930 DiMare Homestead, Inc. DiMare Johns Island, Inc. DiMare Ruskin, Inc. DiMare Management Corp. Paul J. DiMare Charitable Foundation Paul J. DiMare, Jr. Anthony DiMare Scott DiMare Gino DiMare Names of the Respondents Hearing Site: Boca Raton, Florida Lehman Brothers, Inc. James D. Webb, Jr. Nature of the Disp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07928 Fordie L. Plantz and Jane A. Plantz Names of the Respondents Hearing Site: Orlando, FL Wall Street Financial Group, Inc. Michele Freislich Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fordie L. Plantz and Jane A. Plantz, hereinafter collectively referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jim E. Helm (Claimant) vs. Casimir Capital, L.P. and Wayde Walker (Respondents). Docket Number: 03-07927 Hearing Site: Dallas , Texas NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Jim E. Helm, hereinafter referred to as "Claimant": Appearing Pro Se Respondents, Casimir Capital, L.P. and Wayde Walker, hereinafter

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lynn M. Schmidt and Case Number: 03-07926 Hearing Site: Chicago, IL Name of Respondents Gregory W. Smith and Resource-Realty Investment Securities Enterprises, Inc. d/b/a Rise, Inc. NATURE QF CASE Associated Person v. Associated Person and Member REPRESENTATION OF PARTIES Lynn M. Schmidt ("Claimant") was represented by Barbara A. Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case number: 03-07921 Ruth H. Simons and Alan B. Simons, in his capacity as the executor of the Estate of Nathan S. Simons Name of Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith Inc., and Matthew C. Allen Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas D. Anderson. Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 03-07920 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. WilHam B. Federman, Esq. Federman & Sherwood Oklahoma City, OK Marcie S. Mintz, Esq. Citigroup Global Markets, Inc.