AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant The Josephine Frawley Living Trust and Respondents H&R Block Financial Advisors, Inc., and Craig F. Wisbiski Case Number: 04-03018 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Josephine Frawley Living Trust ("Claimant" or "the Trust") was represented by John J. Frawley,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC And Case Number: 04-03017 Hearing Site: Chicago, Illinois Name of Respondent Victor Dwojacki a/k/a Victor David Greco NATURE OF DISPUTE Member v. Associated Persons REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant 1 ) or ("Wachovia") was represented by Renan Sugarman, Esq., of Renan Sugerman P.C., loca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Mortimore, Case Number: 04-03016 Claimant, Hearing Site: Milwaukee, Wisconsin v. GunnAllen Financial, Inc., Joseph P. Ratti, Phil Michals, and Mary Gunn, Respondents. GunnAllen Financial, Inc., Phil Michals and Joseph Ratti, Third-Party Claimants, v. Charles J. Kerns, Sr., Parsons Financial, LLC, Kautilya Sharma and Geek Securities, Inc., Third-Party R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. Douglas Charles Eilwood (Respondent) Case Number: 04-03010 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC ("Wachovia") hereinafter referred to as "Claimant": Robert Scremin, Esq., previously Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03009 Solomon Sandel, Claimant v. S. W. Bach & Company, Francis L. Smookler, Jr., and Christopher F. Veale, Respondents ATTORNEYS: For Claimant Solomon Sandel ("Claimant") appeared Karen J. Vanlngen, of Brooklyn Law School Legal Services, Brooklyn, NY. For Respondent S.W. Bach & Company appeared Berton Seltzberg, Esq., S.W. Bach & Company, Port Washington, NY. Respondent Francis L. S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case No. 01-00056 Robert W. Hill Names of Respondents Mason Hill & Co., Inc. Adam H. Kaplan Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Robert W. Hill, hereinafter referred to as "Claimant": John F. Hanzel, Esq. and Dianne M. Cavaliere, Esq., The Office of John F. Hanzel, P.A., Cornelius, North Carolina. Mason Hill

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants The Helen J. Anderson Trust, by its Trustees, Helen J. Anderson and Enid M. Cichowski Case Number: 04-03003 Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., and Robert L. Foersteriing NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES The Helen J. Anderson Trust, by its Trustees, Helen J. Anderson

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant . Annamaria Newbold and Case Number: .04-03001 Hearing Site: Louisville, Kentucky Respondents UBS Financial Services Inc. f/k/a JC Bradford & Co., George Jeffrey Edds and Richard Henry Wilson ; ; _ NATURE OF CASE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Annarnaria Newbold ("Claimant") was represented b

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Peter Rogers, (Claimant) vs. Todd M. Eberhard and Jeffrey Paul Cahn (Respondents) Case Number: 04-02999 SITUS: New York, New York NATURE OF DISPUTE: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Peter Rogers ("Rogers") hereinafter referred to as "Claimant": Jeffrey P. Lendrum, Esq., The Lendrum Law Firm, San Diego, CA. Respondent Todd M. Eberhard ("Eberhard") he

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Grace M. Marron and Case Number: 04-02997 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc., Robert Louis Rogers, James W. Little, and Patrick Pierre Diorio NATURE OF DISPUTE Customer v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Grace M. Marron ("Claimant") was represented by J. Ronald Vercher,