Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Care Number'- 03-00536 Dan D. Ashouri Shiron Ashouri Latifeh Haghighi Name nf the; Respondents Hearing Site: Washington, DC H&R Block Financial Advisors, Inc. f7k/a OLDE Discount Corporation Mark Joseph Freitag Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTTF.S Claimants, Dan D. Ashouri ("D. Ashouri")

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A. G. Edwards & Sons, Inc. Name of the Respondent Robert Kopstein Case Number: 01-06177 Hearing Site: Richmond, Virginia REPRESENTATION OF PARTTRS Claimant A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant", was represented by Joseph A. Ingrisano, Esq., Kutak Rock LLP, Washington, D.C. Respondent Robert Kopstein, hereinafter

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara Shore 98-02526 Names of Respondents Shochet Securities, Inc. Schroder Wertheim & Co. Inc. For Claimant: Andrew K. Fein, Esq. of Bloch & Minerley, P.L., Boca Raton, Florida. For Respondent Shochet Securities, Inc. ("Shochet"): Neil S. Baritz, Esq. of Shochet Securities, Inc., Boca Raton, Florida. For Respondent Schioder Wertheim & Co., Inc. ("Sch

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael R. Lissack, (Claimant) vs. Salomon Smith Barney, Inc., (Respondent) Case Number: 98-02557 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Michael R. Lissack, hereinafter referred to as "Claimant": Jeffrey D. Robinson, Esq., Baach Robinson & Lewis, Washington, DC. Respondent Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Ira G. Rosenstein

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07790 Episcopal Diocese of Central Florida Names of the Respondents Hearing Site: Orlando, Florida Prudential Securities Incorporated Continental Broker-Dealer Corp. William J. Brewster, Jr. John B. Trumbo Name of the Third Party Respondent Earl Pickett Nature of the Dispute: Customer vs. Members and Associated Persons v.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Phyllis Janke v. 02-07762 Minneapolis, Minnesota Respondents U.S. Bancorp Investments, Inc., U.S. Bancorp Piper Jaffray, Inc., a/k/a Piper Jaffray & Company, US Bank Private Financial Services, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Intuitional Securities, L.L.C., and Wells Fargo Bank Minnesota, NA Nature of Dispute: Customer v. Membe

AWARD NASD Dispute Resolution, Inc. In the Matter of Name of Claim; he Arbitration Between Prudential Secmfties Incorporated and 99-02323 Phoenix, Arizona NameofRespor dent Gerard Thoubbi ron REPRESENTATION OF PARTIES Prudential Secwfities Incorporated ( Schubert & Bar "Claimant") was represented by Amy B. Levenson, Esq., Garvey r, P.C., Washington, D.C. Gerard Thoubburon ("Respondent") did not participate in this matter.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anita E. Stovall and the Estate of Fred S. Stovall vs. H&R Block Financial Advisors, Inc. and Timothy Romero Case Number: 02-07433 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Anita E. Stovall and the Estate of Fred S. Stovall, hereinafter referred to as "Claimants." Herbert E. Pounds, Jr., San Antonio, Texas. Respondents, H&R Block Financial Advis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06272 Steven J. Haban Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter REPRESENTATION OF PARTIES For Steven J. Haban, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. For Morgan Stanley Dean Witter, hereinafter referred to as "Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00133 AWARD In the Mactar of the Arbitration Between Haeng S. and Cindy S. Ko Claimants vs. T. Geimer Securities Bob Furman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1991, Claimants, Haeng S. and Cindy S. Ko, who appeared Pro Se, alleged that through Respondent Bob Furman they purchased 20,000 shares