NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marvin Kolodzik Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Thomas Christoffersen Respondent(s) NOTICE OF ARBITRATION AWARD 88-03604 CASE SUMMARY Claimant (s) Marvin Kolodzik alleged that Respondent ( s ) Blinder, Robinson & Co., Inc. committed unauthorized trades within Claimant's account held with Respondents. Respondent ( s ) deny

Arbitration N.A.S.D. AWARD NATIONAL AssociATiCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (sj = George, Robert, Thorns & Steven G. Leonard 88-03529 Name of National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Merrill Lynch Pierce Fanner & Smitli Inc James A. Ward Russell G. Mann, Jr. For Claimant: Jo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Dr. Elsa M. Lopez Respondent Case #88-03364 AWARD CASE SUMMARY Claimant seeks a debit balance created in October 1987 in Respondent's account as the result of certain options traded on the S & P 100 Stock Index. Respondent contends Claimant failed to cover her options as instructed on Frid

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Margaret M. Johnston vs. Case Number: 06-02591 Hearing Site: Southfield, Michigan Names of Respondents H&R Block Financial Advisors, Inc. and David L. Fransko NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Margaret M. Johnston ("Claimant") was represented by Joseph H. Spiegel, Esq., Joseph H. Spiegel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Luann C. Nickolas, Claimant vs. Dain Rauscher, Inc., and Peter B. Miles, Respondents. Case Number: 99-03403 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Luann C. Nickolas, "Nickolas", hereinafter referred to as "Claimant", was represented by John R. Teetaert, Esquire, of Menn, Nelson, Sharratt, Teetaert & Beisenstein, Ltd., Appleton, Wisconsin.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wachovia Securities, LLC vs. Melissa Holovach Case Number: 06-03657 SITUS: Tampa, Florida NATURE OF DISPUTE: Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC, hereinafter referred to as "Claimant": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Melissa Holovach, hereinafter referred to as "Respondent", did not enter an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Vernon A. Geile and Marilyn L. Geile vs. Names of Respondents American Express Financial Advisors, Inc., n/k/a Ameriprise Financial Services, Inc., and Michael Paul Hughes Case Number: 06-02637 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Vernon A. Geile and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Frank G. Savage vs. Case Number. 06-01569 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Frank G. Savage ("Claimant" or "Savage") was represented by Mark Siurek, Esq., Warren & Siurek, LLP, Houston, Tex

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William M. Franey, Individually and on behalf of Gail Rusk, as Power of Attorney vs. Case Number: 06-00212 Hearing Site: Louisville, Kentucky Names of Respondents J.J.B. Milliard, W.L. Lyons, Inc., Lisa Schmidt, Cathy Perrin, and Ricki Hobgood NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Larry R. Bishop and James E. Maxwell vs. Case Number: 04-00256 Hearing Site: Chicago, Illinois Names of Respondents/Counter-Claimants McDonald Investments, Inc. and Robert G. Jones Consolidated with: Name of Claimant Jem P. Maxwell vs. Case Number: 04-04795 Hearing Site: Chicago, Illinois Name of Respondent McDon