.AWARD : NASD Dispute Resolution In the Matter of the Arbitration Between Claimant EdwardS. Hurwitz and Respondents H&R Block Financial Advisors, Inc., and Ben Geller Case Number: 03-05492 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES . . . . . . . - • , • . - • t 11 ) was represented by Jarnes R.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant r.ast» Number; 03-05485 Marion Goldstein Names nf the Respondents Hearing Site- Philadelphia, PA Morgan Stanley DW Inc. and Robert Smith Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSF.NTATION OF PARTIFS Claimant Marion Goldstein ("Goldstein"), hereinafter referred to as "Claimant", was represented by Steven M. Dranoff,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Doyle Barentine Eva Lena Barentine Total Comfort Heating & Air Doyle Barentine, IRA Eva Lena Barentine, IRA Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen D. Hawkins Case Number: 03-05482 Hearing Site: Little Rock, AR Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05480 Herbert Carrington, Sr. Herbert Carrington, Jr. Name of the Respondent Hearing Site: Tampa, FL The Huntington Investment Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert Canington, Sr. and Herbert Canington, fr., hereinafter collectively refened to as "Claimants": Joseph A. Probasco, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05479 George C. Tunis Mary V. Tunis George C. Tunis III as Trustee for the Tunis Family Trust (Irrevocable) dated 2/29/00 Name of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets f/k/a Salomon Smith Barney Joseph S. Jones Christopher David Sinkula Nature of the Dispute: Customer vs. Member and Associa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry S. Schwartz (Claimant) v. Nathan & Lewis Securities, Inc., Walnut Street Securities, Inc., MetLife Securities, Inc., Robert N. Martz, Roger Pacheo II, and Alexander Brackman (Respondents) Case Number: 03-05478 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Larry S. Schwartz ("S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case No. 01-01581 Powell Fisher Names of Respondents Wheat, First Securities, Inc. William H. Rogers Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Powell Fisher, hereinafter referred to as "Claimant": Reynolds Williams, Esq. and Mark Buyck, Esq., Wilcox, Buyck & Williams, P.A., Florence, South Carolina. For Wheat, Fi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05471 William Masters IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, William Masters IRA, ("Claimant"), appeared William Jemison Mims, Esq., of Levin, Papantonio, Thomas, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respwclent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie L. Wilson, of Maynard, Cooper &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean C. Twomey (Claimant) v. Mallory Capital Group, LLC and A. Conrad Weymann, III (Respondents) and Terence M. Crikelair (Claimant) v. Mallory Capital Group, LLC, and A. Conrad Weymann, III (Respondents) and Christopher H. Aidone (Claimant) v. Mallory Capital Group, LLC, and A. Conrad Weymann, III (Respondents) Case Number: 03-05469 (consolidated w/03-04660 and 03-06094

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Damon Vickers (Claimant) vs. Westminister Financial Securities, Inc., James P. Nunez, Michael Lieb, Robert Davidson, Jr., Christopher John Broderick, and Lawrence Miles Brazie (Respondents) Case Number: 03-05466 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Damon Vickers ("Claimant")