Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael H. Jacobson IRA, Michael H. Jacobson, Lana B. Jacobson, Barry M. Jabobson, and Brian A. Fox, (Claimants) vs. Salomon Smith Barney Inc. and Timothy K. Fife, (Respondents) Case Number: 01-01446 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Michael H. Jacobson IRA ("Jacobson IRA"), Michael H. Jacobson ("M. Jacobson"), LanaB. Jacobson ("L. Jacobson"), Barry M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stanford Group Company Name of the Respondent Charles J. Hazlett Case Number: 03-04250 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stanford Group Company ("SGC"), hereinafter referred to as "Claimant": Ronald Shindler, Esq., Fowler White Burnett P. A., Miami, Florida. Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04245 Gary E. McCord, Individually Gary E. McCord, Trustee, DBS Profit Sharing Plan Names of the Respondents Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith Inc. Joseph M. Beckert Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Gary E. McCor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel E. Lorenzo (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. and Mark Andrew Quinn (Respondents) Case Number: 03-04243 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel E. Lorenzo hereinafter referred to as "Claimant": Richard Slavin, Esq., Cohen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Miller, individually and as Trustee for BEK Marketing Services, Inc. (Profit Sharing Plan) (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald Barter, Mark Alton, & David Capraro (Respondents). Case Number: 03-04236 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peggy Dempe and Peggy Dempe, IRA (Claimant) v. Fahnestock & Co., Inc., Josephthal & Co., Inc., and Andrew Kevlahan (Respondents) Case Number: 03-04232 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Peggy Dempe ("Dempe") and Peggy Dempe, IRA ("Dempe IRA*') hereinafter collectively referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04229 William F. Vogelbaugh, Claimant vs. H&R Block Financial Advisors, Inc., and Charles Williams, Respondents. ATTORNEYS: For Claimant appeared Barbara L. Wolf, Esq., Fort Lauderdale, FL. For Respondents, H&R Block Financial Advisors, Inc. and Charles Williams appeared in-house counsel, Lisa S. Fildes, Esq., Detroit, MI. DATE FILED: June 10, 2003 ~~ NATURE OF CLAIM: Customer v. Mem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel E. Homan, Claimant v. Morgan Stanley DW Inc. and Barry M. Speyer, Respondents Case Number: 03-04227 • Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondents: Mukya S. Porter., Esq, Morgan Stan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 03-04225 Vernon R. Parseli Trust and Mary P. Parsell Trust Name of Respondents Hearing Site: Charlotte, NC Legg Mason Wood Walker, Incorporated and Mike Halpern Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Vernon R. Parsell Trust and Mary P. Parsell Trust, hereinafter referred to

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gerald and Patricia Szymanski and Respondents Multi-Financial Securities Corporation, Economic Financial Services, and Ronald Lloyd Williamson Case Number: 03-04224 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Gerald and Patricia Szymanski ("Claimants") we