N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Allan Green -*. 94-00877 Name of Respondent^ Raymond, James & Associates, Inc. Nathan Margolin REPRESENTATION For Claimant, Allan Green ("Green"): Robert Pearce, Esq. of Lerner and Pearce, P.A., Ft. Lauderdale, Florida For Respondent, Raymond James & Associates, Inc. ("Raymond James"): Michael Alford, Esq. of Raymo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS % Larry Bruce Carr, Claimant v. No. 94-00867 Merrill Lynch, Pierce Fenner & Smith, Inc., Paul Beebe, Fred Bruce and Richard Fitzgerald, Respondents. REPRESENTATION OF PARTIES Claimant Larry Bruce Carr was represented by William S. Shepherd, Esq., Sole Practitioner, Houston, TX and by Cecilia A. Welch, Esq., Oklahoma City, OK. Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimants Jeffrey R. Kuklinski Kemper Securities, Inc. and 94-00864 Name of Respondent B.C. Ziegler and Company BACKGROUND On May 23, 1994, in accordance with the NASD Code of Arbitration Procedure, a decision on the Claim asserted against B.C. Ziegler in this matter was issued by the undersigned arbitrators. That interim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. » In the Matter of the Arbitration Between Name of Claimant Choice Investments, Inc. 94-863 Names of Respondent Forde D. McWilliams REPRESENTATION Claimant, Choice Investments, Inc. (hereafter "Choice") was represented at the hearing by Mark A. Wright, Esq., of Choice Investments, Inc., Austin, Texas. Respondent Forde D. McWilliams (hereafter "McWilliams") was represented at

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02962 H&R Block Financial Advisors, Inc., claimant vs. Daryl G. Mayfield, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondent did not submit a response to the Statement of Claim. DATE FILED: June 5, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his margin account. Claim Data Award

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madine S. Ringley, by Lillian P. Diedrich, Attorney-in-Fact 94-00862 Name of Respondents Roney&Co.; James Buehler REPRESENTATION For Claimant: Madine S. Ringley, by Lillian P. Diedrich, Attorney-in-Fact ("Ringley") was represented by Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson, located in Troy, Mic

NASD Arbitration No. 94-00852 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Robert A. Warfield Name of Respondent(s) Chatfield Dean & Co., Inc. William Emerick, III REPRESENTATION For Claimant: F. Mike Shaffer, Esq., Gordon, Thomas, Honeywell, Malanca, Peterson & Daheim, Tacoma, Washington For Respondent Chatfield Dean & Co., Inc.: Christa D. Taylor, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between *. Name of Claimants Ann Meyer, C.F/Christine Meyer Ann Meyer, C.F/Cyril Meyer, HI 94-00850 Name of Respondents Advest, Inc. Randell Miles REPRESENTATION f For Claimant Ann Meyer, Ann Meyer as custodian for Christine Meyer and Ann Meyer as custodian for Cyril Meyer, m ("Claimants"): P. Kevin Ford, Esq. of the law firm of Ford, Klaph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *. In the Matter of the Arbitration Between Name of Claimant Ralph Tedesco 94-00848 Ffame of Respondent Philip Emsberger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Ralph Tedesco, who appeared Pro Se, alleged that Respondent Philip Emsberger misrepresented the value of the security TREAT INTERNATIONAL ENTERPRIS

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimanj Vina B. Walker, Personal Representative of the Estate of Vina B. Legault and 94-00843 Name of Respondent Waddell & Reed, Inc. REPRESENTATION OF PARTIES Vina B. Walker, Personal Representative of the Estate of Vina B. Legault ("Claimant") was represented by Jeffrey J. Scott, Esq., Krys, Boyle, Golz, Reich, Freedman, Bean & Scott,