Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04930 W.V. Richerson, Jr. Diane M. Richerson Names of the Respondents Hearing Site: Memphis, TN Wunderlich Securities, Inc. Charles D. Kilpatrick Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES W.V. Richerson, Jr. and Diane M. Richerson, hereinafter collectively referred to as "Claimants",

WtA.S.P.R. ftWftRP NASD REGITTATION OFFICE OF DISPUTE RRSOT.TTTION In the matter of the Arbitration Between Name of Claimant(a) Eve Lynn Fait Blackwood, Trustee of the Eve Lynn Fait 1990 Trust NASD Arbitration No. 95-02336 Name of Respondent fa) Robert Thomas Securities, Inc. H.J. Meyers & Co., Inc. Christopher R. Ling REPREflBMTATIQM For Claimant: W. Richard Mills, CPA, W. Richard Mills & Co., Inc., Tustin, Califomia For Respond

NASDR. AWARD NATIONAL ASSOriATTON OF .SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between NASDR Arbitration No. 94-05570 Natnanf Claimant Violet B. Felbc Felicia Felix vs. Name of Respondent La Jolla Securities Corporation Bruce Biddick Richard L. Lundgren and Related Counter-Claims REPRESENTATION For Claimant Violet Felix: Mark Stutzman, Esq., San Diego, California For Claimant Felicia Felix: Richard

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Janice Morse and 01-04929 Southfield, Michigan A.G. Edwards & Sons, Inc., and Leonard Bloch REPRESENTATION OF PARTIES Janice Morse ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. A.G. Edwards & Sons, Inc. ("AGE"), and Leonard P. Bloch ("Bloch' 1 ), hereinafter referred to as "Respondents", were represented by Nuviah Shirazi,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jay E. Hatch and Names of Respondents H&R Block Financial Advisors, Inc. and Clay Stroup Case Number: 01-04927 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Jay E. Hatch ("Claimant") was represented by David L. Nelson, Esq., and David Blaek; Esq., Sommers, Schwartz,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds. Inc. and 94^4782 Name of Respondent Christopher Land REPRESENTATION OF PARTIES Claimant, Dean Witter Reynolds. Inc. , ("Dean Witter"), was represented by Will S. Montgomery, Esq. of Jenkins & Gilchrist. Dallas, Texas. Respondent, Christopher Land, ("Land"), appeared pro se. CASE INFORMATION Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Andrew J. Taulbee Case No. 01-04924 Names of Respondents E-Invest, Inc. One Financial Network, LLC William Jonathan Wride Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES Claimant Andrew J. Taulbee ("Taulbee"), appeared pro se. For Respondent One Financial Network, LLC ("One"): Andrew Koslow, Chief Operating Officer, One, San Fra

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Fiduciary Financial Services of the Southwest, Inc. Qaimant, V. 94-03229 Charles Schwab & Company, Inc., Respondent. REPRESENTATION Claimant, Fiduciary Financial Services of the Southwest, Inc. was rq)resented by John A. Koepke, Esq. of Looper, Reed, Mark & McGraw, Inc. in Dallas, Texas. Respondent, Charles Sch

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04917 Harold Markowitz, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Woodmere, NY. For Respondent appeared in-house counsel, Marcia Williams, Esq., New York, NY. DATE FILED: September 20, 2001 CASE SUMMARY: Claimant alleged that respondent placed him in investments that were not suitable to his needs or his investment objectives. Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Fogarty Garagnani, Claimant Vs. Case Number: 01-04914 Polly S. Jones, and A.G. Edwards & Sons, Inc., Respondents. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Mary Fogarty Garagnani ("Claimant") was represented by Melanie R. King, Esquire, and Edwin D. Akers, Jr., Esquire, of Gallop, Johnson & Neuman, L.C., St. Louis, Missouri. Respon