Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf. flai'mant Case Number 03-01622 Charles Sacks Name nf the ttesponffent Hearing Site! Washington, DC Victor Rivas Nature of the Dispute: Customer vs. Associated Person RFPKF.SF.NTATTON OF PARTTF.S Claimant, Charles Sacks "Claimant", was represented by Barry RosenthaL, Esq., Bromberg Rosenthal Siegel & Goodman, LLP, Rockville, Maryland. Respondent, Victor Rivas

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01621 Nora Kreger Names of the Respondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert J. McKiernan Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Nora Kreger, hereinafter referred as "Claimant", was represented by Roger A. Johnsen,

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Name of the Claimant Case Number: 03-01618 Chris T. Viertel Name of the Respondent Hearing Site: Boca Raton, Florida E*Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Chris T. Viertel ("Viertel") appeared pro se. For E*Trade Securities LLC ("E*Trade"), hereinafter referred to as "Respondent": John Bersin, Assistant Gene

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-4476 Thomas A. MusiL, Claimant vs. David Thompson and H&R Block Financial Advisors, Respondents. ATTORNEYS: Claimant, Thomas A. Musil ("Claimant"), appeared Pro Se, St. Paul, MN. For Respondents, David Thompson and H&R Block Financial Advisors ("Respondents"), appeared H&R Block Financial Advisors, Inc-.'s in house counsel. Lisa S. Fildes, Detroit, Ml. DATE FILED; October 9, 2000,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dorothy A. Thompson Rev. Trust, Dorothy A. Thompson and Floyd Thompson, Trustees Names of the Respondents Salomon Smith Barney, Inc. William R Dodge Howard Guggenheim Lisa Kaye Paul Jay Abrams Case Number: 03-01615 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joel R. and Paula Brown v. Case Number: 03-01611 Hearing Site: Houston, Texas Names of Respondents IMS Securities, Inc. and Stephen L Friedman and Names of Third Party Claimants IMS Securities, Inc. and Stephen L. Friedman v. Name of Third Party Respondent Lester Dearl Butler, Jr. NATURE OF DISPUTE Customers v. Member Firm an

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of th? f^iiflant? C a< il ? ft^rpfrffp 03-01610 John Ted and Cynthia K. Gilmore frfc.flrjf)g Sitf-' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick OF TIT Public Customer v. Member Firm and Associated Persons OF PAKTTFS Claimants John Ted and Cynthia K. Gilmore, hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfrft Claimants fflpf Nnrnhpr- 03-01610 John Ted and Cynthia K. Gilmore =Qf the Respondents HRaring Site- Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick T Public Customer v. Member Firm and Associated Persons RFPPFSFNTATTON Off PAPTTF.S Claimants John Ted and Cynthia K. Gilmore, hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01604 Patricia B. Coleman, Trustee and William J. Coleman, Trustee U/A DTD 09/16/1988 by The Coleman Trust Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia B. Coleman, Trustee and Willia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01603 Letitia M. Hodgetts Thomas J. Hodgetts Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Donald M. Schaefer Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Letitia M. Hodgetts and Thomas J. Hodgetts, hereinafter collective