Award NASD Dispute Resolution In the Matter of the Arbitration Between: H&R Block Financial Advisors, Inc., (Claimant) vs. Metro Point, Inc. and Singh P. Sabharwal, (Respondents) Case Number: 01-03595 Heiring Site: New York, New York REPRESENTATION OF PARTIES Claimant, H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Kurt M. Miller, Esq., Staff Attorney, H&R Block Financial Advisors, Inc., Detroit, MI. Respondents, Metro Po

• i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Richard G. Campbell, Sr. v Morgan Stanley Dean Witter Docket Number: 2002-011165 Attomeys: For Clainiant(s): Richard Campbell, Jr. - Reno, NV For Respondent(s): Jeffrey Silverman - San Francisco, CA Date Filed; 12/17/2002 First Scheduled: 9/17/2003 Decided: 7/30/2004 Case Sunmiary: Customer v. member firm alleging breach of fiduciary duty and reco

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Donald Zwyer v. Lehman Brothers, Inc. Attorneys: For Claimant(s): David Wechsler - New York, NY For Respondent(s): Steven Knecht - New York, NY Robert Holtzman - New York, NY For 3rd Party: Date Filed: 12/16/2002 First Scheduled: 9/23/2003 Dedded: 10/20/2003 Case Summary: Registered representative alleges that Respondent member firm breached his

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Shahpoor Chaffa and Margaret Chaffa v Merrill Lynch, Pierce, Fenner & Smith, Inc. Docket Number: 2002-011088 Attomeys: For Clainiant(s): Peter Perlman - New York, NY Marc Koplik - New York, NY For Respondent(s): John Piskora - New York, NY Alyson Weiss - New York, NY Date Filed: 12/5/2002 First Scheduled: 7/26/2004 Decided; 8/11/04 Case Summ

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joseph M. Tindall vs. Salomon Smith Bamey and Carol Ann Hanlon Docket Number: 2002-011049 Attomeys: For Claimant(s): Pat Huddleston, II - Marietta, GA For Respondent(s): David Russell - Atlanta, GA Debra Jenks - Jupiter, FL Date Filed: 12/5/2002 First Scheduled: 8/3/2004 Decided: 8/17/2004 Case Summary: Claimant, a public customer, alleges chuming a

i NYSE ^;New York Stock Exchange In the Matter of Arbitration Between Ca.sc: Percy Gentle vs. UBS Financial Services Inc. John Hopper and Lynn Houston Docket Number: 2002-011032 Attorneys: For Claimant(s): Wm. B. Emmons - Houston, TX For Respondent(s): Charles W. Schwartz - Houston, TX John Hopper - Weehawken, NJ Date Filed: 11/18/2002 First Scheduled: 11/18/2003 Decided: 09/27/2004 Case Summary: Claimant, a customer, has alleged

i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joanne Swanson and Richard Swanson v. Morgan Stanley Dean Witter and Paul Stanislau Docket Number: 2002-010999 Attomeys: For Clain)ant(s): Myles Jacobson - Springfield, MA For RespoDdent(s): Harrison Kaufman - New York, NY Date Filed: 10/21/2002 First Scheduled: 02/26/2004 Decided: 11/17/04 Case Summary: Cusiomer claimant alleges unsuitable trading

• IMYSE New York Stock Exchange In the Matter of Arbitration Between Case: Gaylia C. Farris, Individually and on behalf of the Gaylia Farris IRAs v. Raymond James & Associates, Inc. and David P. Newman Docket Number: 2002-010998 Attomeys: For Claimant(s): Daniel Woska - Oklahoma City, OK For Respondent(s): Robert C. Stokes - St. Petersburg, FL DateFiled: 10/25/2002 First Scheduled: 07/08/2004 Decided: ^ / /C / ^ ^

/ ^ i NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Elizabeth Holbrook v Merrill Lynch Docket Number: 2002-010996 Attomeys: For Claimant(s): Tracy Pride Stoneman, Esq. - Westcliffe, CO For Respondent(s): Kenneth Mennemeier - Sacramento, CA Date Filed: 11/6/2002 First Scheduled: 5/18/2004 Decided: 7 \ii>[^'i Case Summary: Customer v. member firm alleging violation of state and federal securiti

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Anna Callegati v. Fidelity Brokerage Services, LLC, and Michael Tortora Docket Number: 2002-010888 Attomeys: For Claimant(s): George L. Mahr - Madison, NJ For Respondent(s): Matthew Farley - New York, NY Date Filed: 9/26/2002 First Scheduled: 04/04/2003 Decided: ///^a/ «< ^ Case Summary: Claimant, a public customer, alleges the registered represe