NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05764 Paul E. and Dolores M. Stanley Capital Resource Account, Dolores M. Stanley IRA and Sharleen Stanley-Huddle, Claimants v. Kevin Auguste Carroll and Wachovia Securities, LLC, Respondents. ATTORNEYS: For Claimants, Paul E. and Dolores M. Stanley Capital Resource Account, Dolores M. Stanley IRA and Sharleen Stanley-Huddle, (collectively "Claimants"), appeared David P. Meyer, Columbus,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frances Politano (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc., Dianne Dileo Deifino, and Ronald Casanova (Respondents) Case Number: 03-05762 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Frances Politano ("Politano") hereinafter referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda DiGennaro (Claimant) v. Josephthal & Co., Inc. and Stephen A. Dallatorre (Respondents) Case Number: 03-05761 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Linda DiGennaro ("DiGennaro") hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondents Josephthal & Co.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Berry-Shino Securities, Inc., (Claimant) vs. George Munch and David Monaco, (Respondents) Case Number: 01-01611 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Berry-Shino Securities, Inc., hereinafter referred to as "Claimant": R. Matthew Shino, President, Berry-Shino Securities, Inc, Phoenix, AZ. Previously represented by: Michael S. Colombo, StreetWide Asset

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Giampa (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Veronica McLeod (Respondents) Case Number: 03-05759 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Giampa ("Giampa") hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05755 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Orlando, Florida Brian Jon Van Anne Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Kathleen A. Dedenbach, Assistant General Counsel with Claimant, Detr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert and Mariann Ulam Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Bos Mary Humelsine Case Number: 03-05753 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert and Mariann Ulam, hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05752 Diane Matusik Name of the Respondent Hearing Site: Tampa, Florida Northern Trust Securities, Inc. Customer vs. Member. Diane Matusik, hereinafter referred to as "Claimant", appeared pro se. For Northern Trust Securities, Inc., hereinafter referred to as "Respondent": Steven M. Malina, Esq. and Brandon L. Spurlock, Esq., Ungaretti &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05751 Clarence Geyer Patricia Geyer Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney Scott Housel Chris Desimio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF P^ For Clarence Geyer and Patricia Geyer, hereinafter collectively r

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Scott A. Hayden and Melody W. Hayden, individually, and on behalf of the Hayden Family Limited Family Partnership and on behalf of the Cheyenne Radiology and MRI P.C. Qualified Pension Profit Plan v. 03-05748 Denver, Colorado Respondents Raymond James Financial Services and Fred L. Dowd Nature of Dispute: Customers v. Member and Associated Per