AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant l Gary Tomlinson and 03-00438 Oklahoma City, Oklahoma Name of Respondent Arvcst Bank Operations, Inc. •. ' i Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Gary Tomlinson ("Claimant") was represented by Jeff Nix, Esq., Tulsa, Oklahoma. Arvest Bank Operations, Inc. ("Respondent") was represented by James R. Polan, Esq. a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-00437 Lance Johnson and The Lance Johnson Trust Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., Prudential Securities, n/k/a Prudential Equity Group, Access Financial and Adam M. Makowka Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Lance Johnson and The L

Award NASD Dispute Resolution In the Matter ol the Arbitration between: Names of the Claimants Case Number: 03-00433 Chester R. Arcement, Jr. Catherine C. Arcement Name of the Respondent Hearing Site: New Orleans, LA Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Chester R. Arcement, Jr. and Catherine C. Arcement, hereinafter referred to as "Claimants": L, Jerome Stanley, L. Jero

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00431 Edwin Flatte MicheleFlatte Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith Lawrence Tentarelli Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edwin Flatte and Michele Flatte, hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf* Plflimant Case Number 03-00429 Faye B. Parker Name nf the Respondent Hearing Site: Charlotte, NC Citigroup Global Markets, Inc. fk/a/ Salomon Smith Barney, Inc. Nature of the Dispute: Customer v. Member. RF.PRKSFNTATTON OF PARTTF.S Claimant, Faye B. Parker, hereinafter referred to as "Claimant", was represented by Christopher J. McCool, Esq., Joye Law Firm,

Award p'-rriw-- NASD Dispute Resolution rt c ^ E' v h D In the Matter of the Arbitration Between: iv..?-:.v " : :QN £' Jae Eun Na, Claimant v. Hanmi Securities, Inc., Soon-Gwon Bang and Eul Hyung Choi> Respondents Case Number: 03-00426 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Marc 1. Zussman, Esq. Law Offices of Marc I. Zussman Los Angel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00422 Joseph R. Barberio, Claimant vs. Michael McCormick and H&R Block Financial Advisors, Inc. Respondents. ATTORNEYS: Claimant, Joseph R. Barberio, ("Claimant") appeared pro se., Huntington Station, NY. Respondents, Michael McCormick and H&R Block Financial Advisors, Inc., (collectively "Respondents") appeared through their in-house counsel, Howard M. Klausmeier, Esq., Detroit, MI.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Welton IRA (Claimant) v. Merrill Lynch, Pierce, Fermer & Smith, Inc., Domenic Ruggiero, and Vincenzo Costanzo (Respondents) Case Number: 03-00420 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert Welton IRA ("Welton") hereinafter referred to as "Claimant": Philip D. Sever, Esq., The S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. O'Brien Deceased IRA FBO Bess O'Brien (Claimant) v. A.G. Edwards & Sons, Inc., Robert Byrne, and Robert Bagby (Respondents) Case Number: 03-00418 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert J. O'Brien Deceased IRA FBO Bess O'Brien ("O'Brien"), hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the f!1flimant fase Number: 03-00437 Dan J. Ferringer Names of flip Kgspnndenfs Hearing Rite.- Pittsburgh, PA William F. Reitz Edward D. Jones & Co. Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTTF.S Claimant, Dan J. Ferringer, hereinafter referred to as "Claimant", was represented by J. Kipp Lukehart, Esq., Lukehart & Lun