Stipulated Award NASD Dispute Resolution In the Matter of the Art>itration Between: Name of Clainnant. Thomas C. Relmer vs. Names of Respondents. H&R Block Financial Advisors, incfka OLDE Discount Corporation and Joe Sheeran Case Numben 02-00330 Hearing Site: Detroit. Michigan Customer V. Memt)er and Associated Person REPBEgEWTATIQN QF PARTIES Claimant, Thomas C. Relmer, hereinafter referred to as "Claimant" D. Michael Kratchman,

RATIOHAL ASSOCIAIIOM OF SECDRITIES DEALERS, INC. GENIE B. AND JEM A. DBMBRS CLAINAHTS V. 1HB STDART-JAIIBS COHPAHT, INC. RBSPOHDBRT AND IBIRO- FARTT CLAIHANT V. CHARIJS MOEBRKE TRIRD-PARTT RBSFCniDBHT AHARD *89-03009 CASK SaMNART The Stateaiant of Claim waa filed on October 28, -1989. Claisiants, Genie B. and Jean A. Deaiera alleged that they had absolutely no experience in securities ^en l:hey were duped into purchasing

New York Stock Exchange in the Matter of Arbitration Between NYSE Case: Bahram Jafari, Bahram Jafari, as attorney-in-fact for Ali Barzegar, and Techno-Search Internatronal Corporation, a Colorado Corporatron v. Shearson Lehman Brothers, Inc., William D. Bertalan & Donald McEwing Attorneys: For Claimant(s): Paul G. Bursiek Esq. - Denver, CO For Respondent(s): Larry Irom Esq. - New York, NY Date Filed: 06/02/93 First Scheduled: 10/07/93 De

New York Sttiek Exchange In the Matter of Arbitration Between NYSE Case; ^Wr\ O Rock V worrill Lynch, Pierce, Fenner & Sirilh, Ino. Aitoneys: y'lyr CtoimanKs): f-3tor Turnsf Esq - Cleveland, OH for Respondenl(s). Richard J Rymond Esq - CIswetand, OH Date Filed. os'iO'93 First Scheduled: i2n4;93 Decided: OS/II/M Case Summary: Oaimam, a public customer, alagas retpondem, a member firm, breached its fiduciary duty, made rnsrepresentBttons,

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Merrlll Lynch, Pierce, Fenner & Smith, Inc., v Trade Partners, Inc., Theodora C. de Hondol and Dwight Jory Attorneys: For Ciaimant(s): Earl W. Sealy Esq. - Austin, TX For Respondent(8): Theodora C. de Hondol - Las Vegas, NV Dwight Jory - Las Vegas, NV Date Filed: 05/26/93 First Scheduled: 07/05/94 Decided: 10/14/94 Case Summary: Member Firm V Customers for collec

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dain Bosworth Inc. v Deryl L. Travis, Jr., Dale E. Roehrs, Neal Lee Roehrs, Mark A. Churchill and Shearson Lehman Brothers, Inc. Attorneys: For Clalmant(s): Janie S. Mayeron Esq. - Minneapolis, MN For Respondent(s): Jerry M. Santangelo Esq. - Chicago, IL Date Filed: 05/26/93 First Scheduled: Decided: 08/20/93 Case Summary: Claimant, a member firm, has alleged that re

ly New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Shearson Lehman Bros. vs. Gordon Fallona Attomeys: For Ciaiinanl(a): Marit S. Mancher Esq. - New York, NY For Reepondent(s): RtehanJ E. Hershenson Esq. • New York. NY Date Filed: 05/12/93 First Scheduled: 10/21/93 Decided: 03/10/94 Case Summary: Member Firm vs. Registered Rap (ex-empk>yee) alleging breach of a promissory nota and seeking recovery of the note b

/ ^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Pobar Constmctlon v. Pmdential-Bache Securities Attorneys: For Claimant(a): SkJney A. Goldtierg Esq. - Miami, FL For Reapondaiit(a): Gerald J. Kowalski, Esq. Date Filed: 05/19/93 First Scheduled: 12/14/93 Deckled: 2/3/94 Case Summary: Customer v. Member Firm - claimant alleges misrepresentation and unsuitability regarding purchase of Texas Air Corporatkm

New York Stock Exctiange In the Matter of Arbitration Between NYSE Case: Wllllam p. Albanese v Gruntal & Co., Inc. Attorneys: For Claimant(s): Mario M. Albanese Esq. - Gloversville, NY For Respondent(8): Erfe 8. Hutner Esq. - New York, NY Date Filed: 04/23/93 First Sctieduied: 10/13/93 Decided: 10/13/93 Case Summary: claimant, a former employee, has alleged that respondent has wrongfully withheld commissk>n, tried to improperly 'bust' a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Dennis H. Schechter and Patricia Schechter, (Claimants) vs. First Montauk Securities Corp. and Jordan Kimmel, (Respondents) Case Number: 01-04704 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, The Estate of Dennis H. Schechter ("Schechter Estate") and Patricia Schecter ("P. Schecter"), hereinafter collectively referred to as "Claimants": Mitchell