Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary G. Parsons, Sr., Claimant v. Howard R. Polen, William A. Driver, Raymond James and Associates, Inc,, Manufacturers Life Insurance Co., Raymond James Financial Services, Inc., Manulife Wood Logan, Inc., and Manulife Financial Securities, LLC, Respondents Case Number: 02-06665 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member Firms, Non-Member Firm, and Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06659 Joseph Crawford Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch Eric MacDonnell David MacDonnell Matthew Chalfant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph Crawford, hereinafter referred to as "Claimant": J. Benton Stewart, n, Esq., The Stewart

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Continental Broker-Dealer Corporation, Claimant vs. John R. Barker, Respondent Case Number:00-Q4133 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Continental Broker-Dealer Corp., hereinafter referred to as "Claimant": appeared Patrick V. Delorio, Esq., Purchase, New York. Respondent, John R. Barker, hereinafter referred to as "Respondent" did not enter a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06654 Jennifer Brye, as Personal Representative of the Estate of Areta Jane Brye Name of the Respondent Hearing Site: Tampa, Florida Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jennifer Brye, as Personal Representative of the Estate of Areta Jane Brye, hereinafter referred to as

Award NASD Dispute Resolution In the Matter or the Arbitration between: Name of the Claimant Case Number: 02-06652 Gregory Pagans Name of the Respondent Hearing Site: Boca Raton, Florida Mesirow Financial, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gregory Pagans ("Pagans"), hereinafter referred to as "Claimant": William S. Isenberg, Esq., Fort Lauderdale, Florida. For Mesirow Financial, Inc. ("MF

Stipulated Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Robert M. Willis and Shirley J. Willis, Claimants v. Sutro & Co. nka RBC Dain Rauscher, Inc., Edward L. Dawson, and The Lincoln National Life Insurance Co., Respondents Case Number: 02-06651 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Person Member and Associated Person v. Custdmers REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06642 Pauline Rainone, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc. and Joshua R. Post, Respondents. ATTORNEYS: Claimant, Pauline Rainone, ("Claimant"), appeared pro se, Melbourne, FL. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Joshua R. Post, (collectively "Respondents"), appeared Daren A. Luma, Esq., New York, NY. NATURE OF DISPUTE; Customer v. Member and A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06641 The Recker Family Trust, claimant vs. Matthew Straub and H&R Block Financial Advisors, Inc., respondents. ATTORNEYS: For Claimant appeared Peter E. Recker, Livonia, MI. For Respondents appeared in-house counsel, Donald P. Wray, Jr., Esq., Detroit, MI. DATE FILED: November 4, 2002 CASE SUMMARY: Claimant alleged that respondents failed to provide pertinent information regarding t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06640 Albert Esteban, claimant vs. Salomon Smith Barney Inc., respondent. ATTORNEYS: Claimant appeared pro se, Panama City Beach, FL. For Respondent appeared in-house counsel Ann Parry, Esq., New York, NY. DATE FILED: November 4, 2002 CASE SUMMARY: Claimant alleged that respondent ignored his requests for a conservative portfolio and placed his money in unsuitable mutual funds. Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-06637 Morad Abou-Sabe Name of the Respondents Hearing Site- Philadelphia, PA Aetna Financial Services, Inc. Gitterman & Sacks, LLC Jeffrey L. Gitterman Neil J. Sacks Nature of the Dispute: Customer v. Terminated Member, Non-Member Without a Contract, and Associated Persons. RF.PRF.SFNTATTON OF PARTTRS Claimant, Mora