AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Leona M. Polczinski and Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation and James Francis Hayes Case Number: 04-02493 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Leona M. Polczinski ("Claimant") was represented by David J. Hase, Esq., Cook &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Vilardo, Claimant v. Kenneth Himes and Lydia Wang Himes of the Himes Family Trust, Respondents Case Number: 04-02483 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Brian T. Hafter, Esq. Steefel, Levitt & Weiss, PC San Francisco, California For Respondents: L. Louis Rar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02478 Patricia R. Yellen, for the benefit of her IRA Barry B. Yellen, for the benefit of his IRA Cinetel Corporation, Barry B. Yellen as President Cinetel Corporation Defined Benefit Pension Plan, Barry B. Yellen, Trustee Arnold T. Schwab Charitable Remainder Unitrust UAD 7/15/96, Barry B. Yellen, Trustee Arnold T. Schwab Living Tru

Stipulated Award NASD Dispute Resolution In th_e Matter of the Arbitration Between: Name of the Claimant HeritageBank of the South Names of the Respondents James Hendricks Morgan Keegan & Company, Inc. Case Number: 04-02473 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For HeritageBank of the South ("Heritage"), hereinafter referred to as "Claimant": Kimberl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H.D. Brous & Co., Inc. (Claimant) v. Robert Rossi, Jr. (Respondent) Case Number: 04-02471 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant H.D. Brous & Co., Inc. (H.D. Brous") hereinafter referred to as "Claimant": Robert Giacovas, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY. Respondent Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant S. Wayne Tucker Names nf the Respondents UBS Financial Services, Inc. Richard John Ballou Case Number- 04-02469 Hearing Sitp: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTTRS Claimant, S. Wayne Tucker, hereinafter referred to as "Claimant", was represented by John F.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Kenneth and Shirley Gann Names of the Respondent Ronald J. Bateh Case Number: 04-02464 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth and Shirley Gann, hereinafter collectively referred to as "Claimants": Robert H. McKnight, Esq. and Andrea M. Muller, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants G.N. Tsandoulas and Marie K, Tsandoulas JTWROS G.N. Tsandoulas IRRA FBO G.N. Tsandoulas Marie K. Tsandoulas IRRA FBO Marie K. Tsandoulas Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gerald Richard Browne Case Number: 04-02454 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Asso

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02450 Catherine L. Vaienti and Julia L. Ciano, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimants Catherine L. Vaienti and Julia L. Ciano (collectively "Claimants") appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00006 Mark B. Sims and Donna T. Sims, claimants vs. Cambridge Capital, LLC and Wexford Clearing Services Corporation, respondents. ATTORNEYS: Claimants appeared Pro Se, through Mark B. Sims, Excelsior, MN. For Respondent, Wexford Clearing Services Corporation, appeared William H. Freilich, Esq., in-house counsel, New York, NY. DATE FILED: January 2, 2001. CASE SUMMARY: Claimant