NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00428 Andrew Thompson, claimant vs. Charles Schwab & Company, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Birmingham, AL. For Respondent appeared in-house counsel Gregory M. Scanlon, Esq., San Francisco, CA. DATE FILED: February 1, 2000 CASE SUMMARY: Claimant alleged that respondent failed to provide him with a requested stock quote and a requested transfer agent addres

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sydney Shapiro and Sydney Shapiro Revocable Trust, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent Case Number: 02-06410 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Ryan K. Bakhtiari, Esq. Keith D. Fraser, Esq. Aidikoff&Uhl Beverly Hills, California For Respondent: Peter B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul T. Moxley, Claimant v. Morgan Stanley DW Inc. and Robert H. Rose, Respondents Case Number: 02-06408 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randall R. Heiner, Esq. Law Offices of Randall R. Heiner Salt Lake City, Utah For Respondents: Christopher B. Wells, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Raymond James and Associates, Lie, and °2-06405 Chicago, Illinois Name of Respondent Gerard Phillips Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Raymond James & Associates, Inc., ("Claimant") was represented by Rick A. Buchwalter, Esq. located in Chicago, Illinois, Gerard Phillips, ("Phillips") or ("Respondent")

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark Alan and Maureen Simon and Names of Respondents H&R Block Financial Advisors, Inc., Jeremy J. Wangerin, and GaryB. Dunco Case Number: 02-06404 Hearing Site: Milwaukee, Wisconsin NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Mark Alan and Maureen Simon ("Claimants") were represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manual S. Andrade and Vivian Andrade, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Paul J. Lukas, and Denise M. Lukas, Respondents Case Number: 02-06398 Hearing Site: San Diego, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Steven B. Lehat, Esq. Law Office of Steven B. Lehat Irvine, Califor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Fogiia, Claimant v. Joseph Michael Araiz, the Concord Equity Group, LLC, Imperial Capital, LLC, Ladenburg, Thalmann & Co., Inc. and M.J. Whitman, Inc., Respondents. Case Number: 02-06396 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant: Thomas Wilinsky Biancone & Wilinsky, LLP 230 Park Avenue, 26 th Floor New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry G. Wilson, Claimant v. Select Capital Corporation n/k/a London Pacific Securities, Inc., Hoyle-Donnelly and Associates, and Herbert Ross Hein, III, Respondents Case Number: 02-06394 Hearing Site: San Diego. California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Henry G. Wilson In Pro Per Vista

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06393 Catherine Houle, Executrix of the Estate of Salvatore Saccheri Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Catherine Houle, Executrix of the Estate of Salvatore Saccheri, hereinafter referred to as "Claimant": Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Catherine Houle, Executrix of the Estate of Salvatore Saccheri Name of the Respondent A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member Case Number: 02-06393 Hearing Site: Orlando, Florida OF PARTS For Catherine Houle, Executrix of the Estate of Salvatore Saccheri, referred to as "Claimant": Richard A. Stephens, Esq. and Br