NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05387 Anne and George Gold, TTTES, Claimants v. Dreyfus Service Corporation, Respondent. ATTORNEYS: For Claimants, Anne and George Gold, TTEES, ("Claimants"), appeared Gregory Tendrich, P.A., of the Law Offices of Gregory P. Tendrich, P.A., Boynton Beach, FL. For Respondent, Dreyfus Service Corporation, ("Respondent"), appeared Jayme L. Butcher, Esq., of the firm Reed Smith LLP, Pittsburgh,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George C. Stills, Jr. (Claimant) v. Quick & Reilly, Inc. (Respondent) Case Number: 03-05386 Hearing Site:,New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant George C. Stills, Jr. ("Stills") hereinafter referred to as "Claimant" appeared pro se. Respondent Quick & Reilly, Inc. ("Q&R") hereinafter referred to as "Respondent"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Hurley and Holly M. Hurley JTWROS and William Hurley IRA (Claimants) v. Wachovia Securities, LLC, James Hart, and Lance Million (Respondents) Case Number: 03-05384 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants William Hurley and Holly M. Hurley JTWROS ("The Hurleys") and William Hur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft Claimant Pggp Mimhftr- 03-05377 Betty Fowler ofth p P p ^p n n < 1?nt g Fearing Sit?' Dallas, Texas Wachovia Securities, LLC and Edwin Troy Hawkins OF T Public Customer v. Member Firm and Associated Person Claimant Betty Fowler, hereinafter referred to as "Claimant": Scott R. Baker, Esq. of Dallas, Texas. Respondent Wachovia

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Janice K. Hawks v. 03-05376 Denver, Colorado Respondent '. Mountain States Investments Nature of Dispute: Customer v. Member Firm , . ' ' ' • . i i . i , REPRESENTATION OF ^ARTIES i • Janice K. Hawks ("Claimant") was represented by John R Head, Esq., of Head & Associates, P.C., Denver, Colorado. ' . p ' ' • Mountain

Award NASD Dispute Resolution In the Matter of the Arbitration Between: T " 03-05374 Mitchell and Glenda Patrick ing ftitf* 1 Dallas, Texas Baird Management Corporation; Billie Baird, as Independent Executrix of the Estate of Kay H. Baird, Deceased; Richard A. Baird; and The Financial Source Group, Inc. NAJTTRF Of TlfTy flTSPTTJf Public Customer v. Member Firm, Non-Member Firm and Associated Persons Claimants Mitchell and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Lippincott, Claimant v. Mutual Services Corporation and Robert D. Cornell, Respondents Case Number: 03-05373 ' Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: L. Louis Raring, Esq. The Raring Law Firm Trabuco Canyon, California / + - G. Thomas Flemming, III, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Magnus and Ida Forth Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 03-05367 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Magnus and Ida Forth, hereinafter collectively referred to as "Claimants": Adam S. Doner, Esq., Gordon & Doner, P.A., Palm Beach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Amy Wellman and Harold Wellman, Jr., individually and as Personal Representative of the Estate of Harold Wellman, Sr. Names of the Respondents Charles Schwab & Co., Inc. Great-West Life Insurance and Annuity Company Case Number: 03-05363 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTAT

Award NASD Dispute Resolution, Inc. COPY In the Matter of the Arbitration Between: R. Karen Hatch and Dwaine Hatch and their marital community, and Ina Virginia Richards, Claimants, v. Southern Financial Group, Inc., and Jeff Jenovese, Respondents. Case Number: 01-01553 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Ms. Marianne K. Jones Jones Law Group PLLC 2300 130th Avenue N.E. Suite A-103 Bellevue, WA 9800