Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dane Investments, L.L.C. Name of the Respondent H&R Block Financial Advisors, Inc. Case Number: 02-07739 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dane Investments, L.L.C., hereinafter referred to as "Claimant": James E. Stovall, Esq., Law Office of James E. Stovall, Covington,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Susan L. Baker Susan L. Baker Trustee DTD 12-18-91 Names of the Respondents Morgan Stanley DW 3 Inc. Lee J. Sonko Case Number: 02-07738 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Susan L. Baker ("Baker") and Susan L. Baker Trustee DTD 12-

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Barber & Ruth J. Simmons Barber, as Trustees of the Barber Family Trust, Claimants v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter) and Alan M. Corwin, Respondents Case Number: 02-07736 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard D. Turner, Esq. Eisenhower &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gloria L. Lundgren as Executor of the Estate of Ralph J. Lundgren and Gloria L. Lundgren, individually, Claimants v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter) and Alan M. Corwin, Respondents Case Number: 02-07730 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard D. Tu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftv 02-07724 Jerry F. Kennedy and Betty A. Kennedy 'Kfflfi^e nf ihfi Rp.gpnn(fon|g H^ri^g Sit?' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; and, Deepak D. Raj Public Customers v. Member Firm and Associated Persons OF PAPFS Claimants Jerry F. Kennedy and Betty A. Kennedy, hereinafter collectively referred to as "Claimants": Jakes Jord

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bruce Barron v. 02-07723 Denver, Colorado Respondent Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc. Nature of Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Bruce Barron ("Claimant") was represented by Stephen C. Peters, Esq., and Terrence J. Flemming, Esq., of Lindquist & Vennum, P.L.L.P., Denver, Colorado. Prudential Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant """ Gary M. Hock Name Franklin Street Partners, Inc. Franklin Street Advisors, Inc. Richard Blankenship ase Number: 02-07717 Hearing Site: Charlotte, North Carolina (Hearing held in Durham, North Carolina) Nature of the Dispute: Customer vs. Non-Member and Associated Person. RF.PRRSF.NTATTON OF PARTIES Claimant Gary M. Hock, hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bane One Securities Corporation Name of the Respondent James W. Langston, Jr. Case Number: 02-07710 Hearing Site: New Orleans, LA Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Bane One Securities Corporation ("BOSC"), hereinafter referred to as "Claimant": Matthew J. Morelli, Esq., Ulmer & Berne LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Lukach (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and John Mozonski Case Number: 02-07700 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jason Lukach ("Lukach") hereinafter referred to as "Claimant": Howard M. Rosenfieid, Esq., Farmington,

CASE: 02-07695 Ronald D. Todd, Claimant vs. Harrison Securities,Inc., Sherman Felix, and James Pecoraro, Respondents. ATTORNEYS: Claimant, Ronald D. Todd, ("Claimant"), appeared pro se, Cloudcroft, NM. For Respondents, Harrison Securities, Inc., Sherman Felix, and James Pecoraro (collectively "Respondents"), appeared Michael Utilla, Esq., of the Law Office of Utilla & Associates, Brooklyn, NY. DATE FILED: December 20, 2002 CASE SUMMARY: Claimant all