Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Houman as Trustee for the South Western Management Services, Inc., Pension Plan, Inc., Claimant v. Lawrence Joseph Pagano, Mary Pagano, John T. Abrahamson, Romaic T. Mongillo, and The Beacon Companies, Inc., Respondents Case Number: 00-00581 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Bruce Houman, Trustee, South Western Managemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Rice, Claimant v. Cohig & Associates, Inc. a/k/a EBI Securities Corporation and Lawrence Jack Vink, Respondents Case Number: 00-00070 REPRESENTATION OF PARTIES For Claimant: Jeffrey S. Salisbury, Esq. Law Offices of Jeffrey S. Salisbury Eugene, Oregon For Respondents Cohig & Associates, Inc. a/k/a EBI Securities Corporation and Lawrence Jack Vink: Russell K. Be

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Benjamin T. Weinberg v. 04-04077 Denver, Colorado Respondent Lincoln Financial Advisors Corporation Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Benjamin T. Weinberg ("Claimant") was represented by Jeffrey J. Scott, Esq., of Scott & Associates, Denver, Colorado. Lincoln Financial Advisors Corporation ("Respondent") was represen

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: H&R Block Financial Advisors, Inc. vs. Charles Thomas Campbell, III Case Number: 04-4076 SITUS: Washington, D.C. NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Claimant, H&R Block Financial Advisors, Inc. ("H&R Block"), hereinafter referred to as "Claimant", was represented by Kathleen A. Dedenbach, Esq., H&R Block, Detroit, Michigan. Respondent, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of thp PlaiTnantc PageNiimKer- Q4-04074 David B. Noe Patricia A. Noe Names nf the Respondents Hearing Site* Pittsburgh, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Gary M. Cohen Nature of the Dispute: Customers vs. Member and Associated Person. RFPBFSFNTATION Off PAWTTFS Claimants, David B. Noe and Patricia A. Noe, hereinafter collectively referred to as '^Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04071 Gabriel Carbone, Claimant v. Fixed Income Securities, Inc. and Donald Scott Rykert, Respondents ATTORNEYS: For Claimant Gabriel Carbone ("Claimant") appeared Brian Guillorn, Esq., New York, NY. For Respondents Income Securities, Inc. and Donald Scott Rykert (collectively "Respondents") appeared Brian A. Carlis, Esq., of the firm Stark & Stark, P.C., Princeton, NJ. NATURE OF DISPUTE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Turhan Henderson, Sr. & Diane L. Henderson FKA Abrams (Claimants) v. Edward Jones and Flonnoya J. Franklin (Respondents) Case Number: 04-04070 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Turhan Henderson, Sr. & Diane L. Henderson FKA Abrams, hereinafter referred to as "Claimants": James J. Jon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Stephen Roach (Claimant) v. Cantor Fitzgerald Securities, Inc. (Respondent) Case Number: 04-04068 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant The Estate of Stephen Roach hereinafter referred to as "Claimant": Deborah E. Lans, Esq., and Gary Lerner, Esq., Cohen Lans, LLP, New York, NY. Previously re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: 04-04051 Wesley Howard Name of the Respondents Hearing Site: Chicago, Illinois Lehman Brothers, Inc., SG Cowen Securities Company and John Michael Leonard Nature of the Dispute: Customer vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Wesley Howard ("Howard") referred to as "Claimant"; Sandor Grossman, Esq. of Chicago,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patsy D. Deveau and Names of Respondents Morgan Stanley DW, Inc., and Constance C. Carpeno-Paddock Case Number: 04-04041 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Patsy D. Deveau ("Claimant") was represented by Donald M. Feferman, Esq., Donald M. Feferman, PC, Cor