AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gene W. Tobin and 01-01650 Dallas, Texas Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Gene W. Tobin ("Claimant") represented himself. Ameritrade, Inc. ("Respondent") was represented by James Vihstadt, Esq. of Ameritrade located in Bellevue, Nebraska. CASE INFORMATION The Statement of Claim was filed on or about April 3,2

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bruce E. Allen, as the Personal Representative of the Estate of Brent D. Brockman and 03-06238 Omaha, Nebraska Name of Respondents Broker Dealer Financial Services Corp. d/b/a BDF Investments Michael T. Sherzan David E. Kernen Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Bruce E. Allen, as the Persona

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Sam Salman and Muntaha Yono and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation and Ralph T. Albers Case Number: 03-06232 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Sam Salman and Muntaha Yono ("Claimants") were represented by David S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fred G. Kluglein Case Number: 03-06231 Names of the Respondents Citigroup Global Markets, Inc. Nadav Baum Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Fred G. Kluglein, hereinafter referred to as "Claimant", was represented by Peter B. S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine C. Gheen, Claimant v. Morgan Stanley Dean Witter and Patrick P. Shannon, Respondents Case Number: 03-06228 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Anthony M. Englese, Esq. Attorney At Law San Francisco, California For Respondents: Kenneth C. Mennemeier, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Katherine Stuckey, M.D., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Philip J. Loftus, Respondents Case Number: 03-06227 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person i REPRESENTATION OF PARTIES For Claimant: Steve D. Larson, Esq. Tina Beatty-Wahers, Esq. Stoll Stoll Berne Lokting &ShlachterP.C Port

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Pan-American Financial Advisers, Inc. Case Number: No. 03-06225 (Master Case) Name of the Respondent: Dale A. Pope Hearing Site: Philadelphia, Pennsylvania In the Matter of the Arbitration Between: Name of the Claimant: Dale A. Pope Case Numbers: No. 03-06656 (Subordinate Case) Names of the Respondents: Pan-American Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mildred Lillis (Claimant) v. Cantone Research, Inc. and Anthony Cantone (Respondents) Case Number: 03-06223 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mildred Lillis ("Lillis") hereinafter referred to as "Claimant": Marc S. Gottlieb, Esq., New York, NY. Respondents Cantone Research, Inc. ("

Award NASD Dispute Resolution fo ihe Matter of the Arbitration Between: Thomas G. Meyers (Claimant) v. MerriU Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-06222 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Thomas G. Meyers ("Meyers") hereinafter referred to as "Claimant": Michael J. Stamen, Esq., James, tfoyer, Newcomer & Srailjanich, P.A., Tampa, FL. Respondent Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Afflitto and MaryAnn Afflitto (Claimants) v. UBS Financial Services, Inc. and Matthew Steinfeld (Respondents) Case Number: 03-06220 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Patrick Afflitto ("P. Afflitto") and MaryAnn Afflitto ("M. Afflitto") hereinafter collectively referred to