Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06490 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Steven F. Fondo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc. ("H&R"), hereinafter referred to as "Claimant": Kathleen A. Dedenbach, Assistant General Counsel,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - 02-06486 Harriet Raskin ttf»spoTulf*ntft Hiring Sjtp- Dallas, Texas Bear, Stearns Securities Corp.; Josephthal & Co., Inc.; Frank L. Harris, HI N ATTTRTT OF THF DTSPTTTF Public Customer v. Terminated Member Firm } Member Firm and Former Associated Person PARTTFS Claimant Harriet Raskin, hereinafter referred to as "Claimant": William M. Ravkind, Esq., of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Isadore April Name of thf. Respondents Walnut Street Securities, Inc. and Marc A. Weisman Case Number: 02-06483 Site: St. Louis, Missouri NAT1TRF Customer vs. Member Firm and Associated Person OFPPTTFS Stuart R. Berkowitz, Esq. of the law firm Platke and Berkowitz, LLP located in St. Louis, Missouri represented Claimant, Isadore April, h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Emily Buxbaum Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Alan Taxman Case Number: 02-06481 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Jack Fishman, Esq. of The Fishman Law Firm, P.C. located in St. Louis, Missouri represented Claimant, Emily Buxbaum, hereinafter referred to as "Claimant." Daren A. L

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06479 Merrill Lynch Pierce Fenner & Smith Inc. Names of the Respondents Hearing Site,: Little Rock, AR Salomon Smith Barney Inc. Roger L. O'Quin, Jr. REPRESENTATION OF PARTIES For Merrill Lynch Pierce Fenner & Smith Inc. ("MLPFS"), hereinafter referred to as "Claimant": Timothy S. Cole, Esq., Rubin & Associates, P.C., Paoli, PA. For Salomon Smith Barney

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06475 Bill W. Garden and Bernice Sousa-Carden, Claimants vs. Edward Jones & Co. and Bill Gray, Respondents. ATTORNEYS: Claimants, Bill W. Garden and Bernice Sousa-Carden (collectively "Claimants") appeared pro se.,Napa, CA. For Respondents, Edward Jones & Co. and Bill Gray, (collectively "Respondents") appeared their in-house counsel, Kimberly G. Anderson, Esq., St. Louis, MO. DATE F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edyth Monsour, Individually, and Edyth Monsour as Custodian for Andrew L. Monsour (Claimants) v. Citigroup Global Markets, Inc. tfk/a Salomon Smith Barney, Inc. and Howard Waltuch (Respondents) Case Number: 02-06472 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Edyth Monsour, Individually ("Mo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06466 Prudential Securities, Incorporated Name of the Respondent Hearing Site: Boca Raton, Florida Francisco Hernandez Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Prudential Securities, Incorporated ("PSI"), hereinafter referred to as "Claimant": Matthew N. Thibaut, Esq., Boose Casey Ciklin Lubitz Martens

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samir El-Ghazaly and 00-04118 Phoenix, Arizona Name of Respondents Acument Securities, Inc. file/a Thomas F. White & Co., Inc. Jerry S. Gold REPRESENTATION OF PARTIES Samir El-Ghazaly ("Claimant") was represented by Joey Haraby, Esq., Phoenix, Arizona. Acument Securities, Inc. f7k/a Thomas F. White & Co., Inc. ("Respondent Acument") and Jerry S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06461 Harry Shoemaker, in Name of the Respondent Hearing Site: New Orleans, LA First Level Capital, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harry Shoemaker, IE, hereinafter referred to as "Claimant": James L. Maughan, Esq., Maughan, Maughan & Lormand, LLC, Baton Rouge, LA. For First Level Capital