AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John C. Brice and Names of Respondents Bane One Securities Corporation and Nina Kallabat-Daiza Case Number: 03-02946 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John C. Brice ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula- Stein, Esq., An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant H. Jerry Longley, Ph.D Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Stephen C. McCannon Case Number: 03-02945 Site: Albuquerque, New Mexico NATTTRF OF Customer vs. Member Firm and Associated Person KFPRFSFNTATTON OF PARTTFS Claimant, H. Jerry Longley, Ph.D, appeared pro se in this matter. Brett D. Sherman, Esq. of

MftY-13-2004 01 : 03 PM OTTftWA.U. FINANCIAL. AID 602 74 S> 5141 F' . 13 1 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Ericksen and 03-02944 Phoenix, Arizona Name of Respondents Charles Schwab & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENT A N O F Robert Ericksen ("Claimant") appeared prose. Charles Schwab & Co., Inc. ("Respo

11/21/2005 08:27 FAX NASO 0002/009 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Shapoor Ansari. M.D., Individually and as Trustee of the Monroe Clinic Pension & Profit Sharing Plan and Case Number 03-02941 Hearing Site: Troy, Michigan Respondents H&R Block Financial Advisors, Inc. f/k/a OLDE Discount Corporation and Joseph D. Sheeran NATURE OF DISPUTF Customer v. Member and Associated 1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Stultz, Claimant v. WMA Securities, Inc., Respondent Case Number: 03-02939 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Carol Stultz In Pro Se Canoga Park, California Alan E. Greenberg, Esq. Lewis Brisbois Bisgaard & Smith LLP San Diego, California CASE INFORM

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Jody Nelson v. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Laura McSparren 03-02931 Denver, Colorado Nature of Dispute: Customer v. Member and Associated Person i ', i REPRESENTATION OF PARTIES Jody Nelson ("Claimant f) was represented by Elizabeth Lowery, Esq., of Fields, Fehn & Sherwin, Los Angeles, California. Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Namp of fhp Patricia Sukonik r 03-02930 nf tT-ip Merrill Lynch, Pierce, Fenner & Smith Patrick J.Walsh Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Patricia Sukonik. hereinafter referred to as "Claimant", was represented by Michael J. Willner, Esq., Miller Faucher a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Letourneau (Claimant) v. Scottrade, Inc. (Respondent) Case Number: 03-02929 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Robert Letourneau ("Letourneau") hereinafter referred to as "Claimant": Joseph J. Dehner, Esq., Frost Brown Todd, LLC, Cincinnati, OH. Respondent, Scottrade, Inc. ("Scottrade") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bertram J. Latzer FBO Bertram J. Latzer (Claimant) v. CIBC Oppenheimer Corp. and Jeffrey Schneider (Respondents) Case Number: 03-02928 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Bertram J. Latzer FBO Bertram J. Latzer ("Latzer") hereinafter referred to as "Claimant" appeared pro se. Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salomon Smith Barney Inc., (Claimant) vs. Prudential Securities Incorporated and Joseph G. Vitetta, (Respondents) Case Number: 01-01241 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Blythe E. Lovinger, Esq., Kasowitz, Benson, Torres & Friedman LLP, New York, NY. Respondents, Pruden