Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02540 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: New Orleans, LA Michael Abushanab Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc. ("HRBFA"), hereinafter referred to as "Claimant": Donald P. Wray, Jr., Esq., Assistant General Counsel, HRBFA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02524 Albert A. Benedetto and Constance Benedetto, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants Albert A. Benedetto and Constance Benedetto (collectively "Claimants") appeared Eddie Easa Farah, Esq., of the firm Farah, Farah & Abbott, P.A., Jacksonville, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Ju

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02523 Frank Wynne, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Frank Wynne, ("Claimant"), appeared Eddie Easa Farah, Esq., of the firm Farah, Farah & Abbot, P.A., Jacksonville, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"), appeared Alan M. Wolper, Esq. of the firm Sutherland Asbill & Brennan, LLP, Atlanta, GA.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert R. Podwill and Gail Podwill JTWROS Names of the Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. Randall James Hooper Case Number: 04-02522 Hearing Site: Boca Raton, Florida Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Robert R. Podwill and Gail Pod

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02521 Conrad Mershon, Janet M. Mershon and Turbines Int'l, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants, Conrad Mershon, Janet M. Mershon and Turbines Int'l, ("collectively Claimants"), appeared Eddie Easa Farah, Esq., of the firm Farah, Farah & Abbott, P.A., Jacksonville, FL. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc., (

Stipulated Award NASD Dispute Resolution In the Matter of the Aibitration Between: Nftrqe nfthr flnirnant Q.SR Number 04-02515 Robert F. Manning . , , . . Names' fifth* R^gpfinrfuntii Wmmng Situ: Philadelphia, PA Leo and Marie Downey Nature of the Dispute: Associated Person vs. Customer*. Claimant, Robert F. Manning, hereinafter referred to as "Claimant", was represented by Lee 1 A. Rosengard, Esq., Stradley, Ronon, Stevens & Young LLP, Phil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of the Respondent Missouri Shawn Benson Casejsiumber: 04-02509 Hearing Site: Kansas City, NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Renan I. Sugarman, Esq., of the firm Renan Sugarman, PC located in Chicago, Illinois, represented Claimants Wachovia Securities, LLC (Wacho

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC v. 04-02496 Minneapolis, Minnesota Respondent Thomas W. Ottman Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois, Thomas W. Ottman ("Respondent") or ("Ottman") was represented by Adam A. Gillette, Esq., of

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00007 Blanche Y. Davis Names of the Respondents Hearing Site: Little Rock, AR A.G. Edwards & Sons, Inc. Michael Sullivan REPRESENTATION OF PARTIES For Blanche Y. Davis, hereinafter referred to as "Claimant": Brad L. Karren, Esq., Reeves & Karren, P.A., Bentonville, AR. For Respondent A.G. Edwards & Sons, Inc. ("AGE"): William S. Port, Vice President and

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Hazan v. 04-02494 Denver, Colorado Respondents SunAmerica Securities, Inc., and Robert Richard Wheeler Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES David Hazan ("Claimant") was represented by Douglas A. Wolkin, Esq., of Deagle & Wolkin, P.C., Parker, Colorado. SunAmerica Securities, Inc. ("SunAmeri