NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04149 Stacy Jean Susman and Stacy Jean Susman, IRA, Claimants v. Raymond James Financial Services, Inc. and Lawrence A. Appleman, Respondents. ATTORNEYS: For Claimants, Stacy Jean Susman and Stacy Jean Susman, IRA, ("Claimants"), appeared Robert Talbot, Esq., of the University of San Francisco School of Law Investor Justice Program, San Francisco, CA. For Respondents, Raymond James Finan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04148 Jack and Shirley Taylor, Claimants v. American National Municipal Corporation, Respondent. ATTORNEYS: Claimants, Jack and Shirley Taylor, ("Claimants"), appeared pro se, Newport Beach, CA. For Respondent, American National Municipal Corporation, ("Respondent"), appeared Steve Buchwalter, Esq., Encino, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 6, 2003 CASE SUMM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mahinderjit Singh, M.D. and Jasjit Kaur Singh, Jasjit K. Singh IRA, Mahinderjit Singh, IRA, Jasjit K. Singh c/f Gurjup K. Singh, and Jasjit K. Singh c/f Harjup Singh (Claimants) v. H & R Block Financial Advisors, Montrose Capital Management, Ltd., Vivek K. Verma, Robert J. Winston, and Michael J. Rajewski (Respondents) Case Number: Of-01442 Hearing Site: New York, New York Nature of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Bruni IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Caroline N. Gundeck (Respondents) Case Number: 03-04142 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ugo Bruni IRA ("Bruni") hereinafter referred to as "Claimant": Loel H. Seitel, Esq., Englewood Cliffs, NJ. Previousl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose R. Fine and Ellen F. Litt, JT TEN (Claimants) v. Prudential Equity Group, LLC f7k/a Prudential Securities, Inc. and Arlene Andersen (Respondents) Case Number: 03-04141 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Rose R. Fine and Ellen F. Litt, JT TEN ("R. Fine and E. Litt") hereinafter

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Juanita Heath-Arms f/k/a Juanita Heath Names of the Respondents Acument Securities, Inc. f/k/a Thomas White & Co., Inc. First Discount Brokerage, Inc. Robert Thompson Angle William E. Stenlund Case Number: 03-04133 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Rafael J. Garofalo, individually and on behalf of Rafael J. Garofalo, IRA R nf the Respondents Morgan Stanley DW Inc. Kirit R. Doshi Edward Jones & Co. Roger Barry Goodwin r- 03-04130 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Members and Associated Persons. OF PAKTTRS Claimant, Rafael J. Garofalo, ind

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joseph Dodds and Bobbie Jean Dodds v. 03-04126 Denver, Colorado Respondent / Third-Party Claimant RBC Dam Rauscher, Inc. v. Third-Party Respondent A.G. Edwards & Sons, Inc. Nature of Dispute: Customers v. Member and Member v. Member REPRESENTATION OF PARTIES Joseph Dodds and Bobbie Jean Dodds ("Claimants") appeared pro se. RBC Dain Rauscher, Inc.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Mary R. Francis and MLPF&S GUST FPO Mary R. Francis IRA, FBO Mary R. Francis v. 03-04124 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and James F. Weaver, Jr. Nature of Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Mary R. Francis and MLPF&S CUST FPO, Mary R. Francis IRA, FBO Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thft Plavmant Barry Woloshin Names nf the "Respondents Prudential Equity Group, LLC Scott Wallach asp Number 03-04119 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Person. KFPRKSFNTATIDN OF PARTIES Claimant, Barry Woloshin, hereinafter referred to as "Claimant", was represented by Jonathan Fisher, Esq.,