Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-02712 Martha Pugode Acosta Names of the Respondents Hearing Site: Boca Raton, FL CIBC World Markets Corp. Ivan Oscar Alfaro Juana Caicedo-Selinger REPRESENTATION OF PARTIES For Martha Pugode Acosta, hereinafter referred to as "Claimant": C. Thomas Schmidt, Esq., Schmidt & Hoffer, LLP, Houston, TX. For CIBC World Markets Corp.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Solberg, Claimant v. Morley Securities, Inc., Bryan E. Gill, III, Wedbush Morgan Securities, Inc., Respondents Case Number: 01-02669 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert S. Fink, Esq. Law Offices of Robert S. Fink Los Angeles, California For Respondents: Jerry S. Phillips, Esq. Richman, Mann, Chizever, Phillips

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raphael Elias Case No. 01-02085 Names of Respondents William Lozano SouthTrust Securities, Inc. Maree Moscati Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Claimant Raphael Elias ("Elias") appeared pro se. For SouthTrust Securities, Inc.("SouthTrust"), William Lozano ("Lozano") and Maree Moscati ("Moscati"), hereinafter col

Award NASD In the Matter of the Arbitration Between: The CMS Group, L.L.C., Claimant v. Herbert J. Sims & Co., Inc., Stanley Crouch, Leslie Goodman, Larry Wolfe, and Gary Press, Respondents Stanley Crouch, Leslie Goodman, Larry Wolfe, and Gary Press, Counterclaimants v. The GMS Group, L.L.C., Respondent Case Number: 00-05205 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The GMS Group, L.L.C., hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.G.Edwards & Sons, Inc. v. Mark Nichols v. A.G. Edwards & Sons, Inc and John Rohan Case Number: 01-01917 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: A.G. Edwards & Sons, Inc. William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, MO For Respondent/Counterclaimant: Mark Nichols Edward L. Blum, Esq. Edward L. Blum, P.C.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation and 01-01777 Phoenix, Arizona Name of Respondents Gerard M. Burns Gerard M. Burns, Jr. Leonard J. Burns Cambridge Investments Services, LLC GT & Associates, LLC Marshall J. Roossin and Kristin M. Roossin John Scott Wright REPRESENTATION OF PARTTES H&R Block Financial Ad

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01542 RaVae A. Luckhart, Claimant vs. Bryant J. Engebretson & U.S. Bancorp Piper Jaffray, Respondents. ATTORNEYS. Claimant appeared Pro Se., Bellingham, WA. Respondents appeared through their in-house counsel Brian S. Hellberg, Esq., Minneapolis, MN. DATE FILED: March 29, 2001 CASE SUMMARY: Claimant alleged that Respondents were negligent in the management of her account. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rickel & Associates, Inc., Claimant v. John W. Laurienti, Respondent John W. Laurienti, Third Party Claimant v. Kenneth Rickel, Elliot J. Smith, and Gregg A. Smith, Third Party Respondents Case Number: 01-01310 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant Rickel & Associates, Inc. and Third Party Respondent Kenneth Rickel: Derek A. Wolman, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward D. Jones & Company, L.P., (Claimant) vs. Jay S. Tobias and Salomon Smith Barney, Inc., (Respondents) Case Number: 01-00598 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Edward D. Jones & Company, L.P., hereinafter referred to as "Claimant": Lawrence R. Goldberg, Esq., Goldberg, Katz & Stansen, P.C., St. Louis, MO. Respondent, Jay S. Tobia

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joan C. Nigliazzo Case No. 00-05347 Names of Respondents PFS Investments, Inc. Jack Alan Sapolsky Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Joan C. Nigliazzo ("Nigliazzo"), hereinafter referred to as "Claimant": David H. Zimmer Esq., Boca Raton, Florida. For PFS Investments, Inc. ("PFSI") and Jack Alan Sapols