Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence D, Fagundes, Debbie E. Fagundes, Larry Fagundes IRA, Debbie E. Fagundes, Custodian for the Logun D. Fagundes U/CA/UTMA, and Debbie E. Fagundes, Custodian for the Dakota E. Fagundes U/CA/UTMA, Claimants v. Citigroup Global Markets, Inc. fk/a Salomon Smith Barney, Inc. and Tracy R. Turner, Respondents Case Number: 03-01356 Hearing Site: San Francisco, California Nature of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants David Leger and Thomas Bolera Case Number: 00-04456 Name of the Respondents First Union Securities, Inc., Mohammad S. Rahman, and James G. Osborne Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants David Leger ("Leger") and Thomas Bolera ("Bolera") hereinafter collectively referred to as "Claimants": Erwin Conn, Esq. of th

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Neal Carter M.D. and Kim Carter, and W. Neal Carter TTEE Atwater Medical Group Profit Sharing Plan, Claimants v. First Union Securities, Inc. (formerly known as Everen Securities, Inc.) now dba Wachovia Securities, LLC, Linsco/Private Ledger Corp. and Prudential Equity Group, LLC Respondents Case Number: 03-01355 Hearing Site: San Francisco, California Nature of the Dis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Edward R. Bloomquist and Lila Mae Bloomquist, Claimants v. Piper JaSray & Co. f.k.a. U.S. Bancorp Piper Jaf&ay, Inc., Wachovia Securities, LLC f.k.a. First Union Securities, Inc., and Brian Henderson, Respondents Case Number: 03-01352 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Equalizer Security, Inc. (Claimant) v. Andrew Garrett, Inc. and Brian Zimmerman (Respondents) Case Number: 03-01344 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Equalizer Security, Inc. ("Equalizer") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., New York, NY. Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01343 Randerson I. Stephens and Pamela S. Stephens Names of the Respondents Hearing Site: Charlotte, North Carolina H&R Block Financial Advisors, Inc. Chris Warren Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Randerson I. Stephens and Pamela S. Stephens, hereinafter c

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01341 Thomas W.H. Buck Names of the Respondents Hearing Site: Atlanta, Georgia John Curran Jody L. Roberts Founders Equity Securities, Inc. Penson Financial Services, Inc. Centerpoint Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTIES Thomas W.H. Buck ("Buck"), referred

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01340 Jeffrey Azpell Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick J. Welde Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Azpell, hereinafter referred to as "Claimant": Michael S. Taffe, Esq. and Jennife

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John C. Chewning III, Virginia Chewning, Gary Thompson, and William Anderson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Serafin Aquino, Respondents Case Number: 03-01336 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Carl J. Carlson, Esq. Carlson &Fabish,P.S.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Spencer J. Reppe v. 03-01334 Minneapolis, Minnesota Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Peter G. Opp Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Spencer J. Reppe ("Claimant") was represented by Geoffrey P. Jarpe, Esq., of Maslon Edelman Borman & Brand, Minneapolis, Minnesota. Merrill Lync