AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Subash S, Desai, Sudha S. Desai, Parag Desai and Ankur Desai and Names of Respondents RBC Dain Rauscher, Inc., Frank Tighe and Richard S. Friedman Case Number: 04-05174 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Subash S, Desai, Sudha S. Desai, Para

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names rt Morris and Lillian Teitel Case No. 99-02785 Names of Respondents First Union Brokerage Services, Inc. Cindy Lee Sachs REPRESENTATION OF For Morris and Lillian Teitel, hereinafter collectively referred to as "Claimants"; Louis Teitel, Esq. of Dunnington, Bartholow & Miller LLP, New York, New York. For First Union Brokerage Services, Inc. ("First Union") and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Esteban Leon Carmelina de Leon Carlos Alberto Leon Mariela Leon Names of the Respondents Stanford Group Company UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. UBS International, Inc. Wallstreet Electronica, Inc. Pedro Penzini Cecilia Gonzalez Rafael Avila Carlos F. Otalvaro Carlos N. Otalvaro Cas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alyce Ball and Case Number: 04-05158 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Edward D. Jones & Co. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Alyce Ball ("Claimant") was represented by A. Daniel Woska, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Edward D. Jones & Co. (''Edward Jones" or "Respondent")

Stipulated Award NASD Dispute Resolution In the Matter or the Arbitration Between: Robert and Sharon McCarthy, Case Number: - 04-05123 Claimants v. • Merrill Lynch, Pierce, Fenner & Smith, Inc. and Hearing Site: Chicago, Illinois Scott Alan Bylsma, Respondents NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert and Sharon McCarthy (the "McCarthys"), hereinafter referred to as "Claimant"

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 04-01022 Pauline K. Dixon, Claimant vs. Aragon Financial Services, Inc. and Mauro Jose "Joe" Padilla, Respondent ATTORNEYS: For Claimant Pauline K. Dixon ("Claimant") appeared Marvin J. Williams, Esq., Houston, TX. Respondents Aragon Financial Services, Inc. and Mauro Jose "Joe" Padilla (collectively "Respondents") did not make an appearance in this matter. NATURE OF DISPUTE: Custo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00682 Laurence Ganon, individually and as Trustee of The Laurence and Lorraine Gannon Trust, Laurence J. Ganon SEP and Lorraine Ganon IRA Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner and Smith, Inc. Myron D. Stayman Nature of the Dispute: Customer vs. Member and Associated Person.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Adolph Tieppo and Case Number: 04-00525 Hearing Site: Southfield, Michigan Names of Respondents Michigan Securities, Inc., and William E. Rice, Jr. NATURE OF DISPUTE Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Adolph Tieppo ("Claimant") was represented by John A. Hubbard, Esq., and Anthony R. Paesano, Esq., Beal

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Tiemens vs. H&R Block a/k/a Olde Discount Corp and Leonard Veit Case Number: 04-00132 Hearing Site: Indianapolis, Indiana REPRESENTATION OF PARTIES Kenneth Tiemens, hereinafter referred to as "Claimant": Sandor L. Grossman, Esq., Law Offices of Sandor Grossman, LTD, Chicago, Illinois. H&R Block Financial Advisors, Inc. ("H&R Block"), formerly known as OLDE D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tbft riaimantg fagf! Nnmhftr- 04-00085 Alimadad Jatoi & Alcina Jatoi nffh ft ^ RS p nr i(1fTit g tfeflringSits! Dallas,Texas WM Financial Services, Inc. and Richard L. Goins NATTTRF. OF TF Public Customers v. Member Firm and Associated Person OF PATTFS Claimants Alimadad Jatoi & Alcina Jatoi, hereinafter collectively referred to as "Cla