CASE: 02-05612 Louise G. Cohen, claimant vs. H&R Block Financial Advisors, Inc. and Drew Granauro, respondents. ATTORNEYS: Claimant appeared pro se, Coconut Creek, FL. For Respondents appeared in-house counsel, Donald P. Wray, Esq., Detroit, MI. DATE FILED: September 17, 2002 CASE SUMMARY: Claimant alleged that respondents made a $10,000 purchase of John Hancock High Yield bonds without her authorization. Claimant maintained that due to respondents'

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Thomas R. and Beverly J. Urban and 02-05605 Phoenix, Arizona Name of Respondents Financial Network Investment Corp. Michael D. Miller Stephen P. Emanuels Capital Planning Corp. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Thomas R. and Beverly J. Urban ("Claimants") were represented by Raymond M.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants John M. Sommer, individually and as general partner of the J.M. Sommer Family Trust v. 02-05604 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Gregory C. Richardson Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES John M. Sommer, individually and as general partner of the J.M. Sommer Famil

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter-Respondent Jeffrey M. Sullivan and Name of Respondent/ Counter-Claimant Oxford Financial Group Name of Third Party Claimant Oxford Financial Group and Names of Third Party Respondents Sun Life of Canada (U.S.) Distributors, Inc. Sun Life Assurance Company of Canada Case Number: 02-05603 Hearing Site: Houston, Texas NATURE OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Preston Paul White, Case Number: 02-05601 Claimant, vs. NY Life Securities, Inc., Hearing Site: Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. Claimant Preston Paul White, hereinafter referred to as "Claimant," was represented by Thomas Allen Filo, Esq. of Cox, Cox, Filo & Camel located in Lake Charles, Louisiana.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04031 Charles Schwab & Co., Claimant vs. John B. Arnold, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., ("Claimant"), appeared through its in-house counsel Brandon K. Hemley, Esq., San Francisco, CA. Respondent, John B. Arnold ("Respondent"), appeared Pro Se, Baton Rouge, LA. DATE FILED: September 14, 2000. CASE SUMMARY: Claimant alleged Respondent failed to provide the nec

01/16/02 13:28 PAI 512 236 0239 OFFICE OF DISPUTE RES 31002/010 NASD DISPUTE RESOLUTION, INC. STIPULATED A WARD IN THE MATTER OF THE ARBITRATION BETWEEN Name of Claimants RQBEJIT E. AND SUZANNE R. STUBBLEFIELD NASD Case No. 00-00411 Names of Respondents A-G- EDWARDS & SONS, INC. ANDDONKAINER REPRESENTATION OF THE PARTIES Claimants Robert E. and Suzanne R. Siubblefield: William S. Shepherd, Esq. and KJik George Smith, Esq., Shepherd &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Joseph R.N. Cloutier, Case Number: 02-05600 Claimant, vs. NY Life Securities., Inc., Hearing Site: Houston, Texas Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. n Claimant Joseph R.N. Cloutier, hereinafter referred to as "Claimant," was represented by Thomas Allen Filo, Esq. of Cox, Cox, Filo & Camel located in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Peter A. Dow, TTEE U/A DTD 10/30/1988 Peter A. Dow Trust and Name of Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 02-05598 Hearing Site: Southfield, Michigan Customer v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Peter A. Dow, TTEE U/A DTD 10/30/1988 Peter A. Dow Trust ("Claimant") was represented by Walter Baumgardn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pamela A. Najjar (Claimant) v. Magna Securities Corp. and Patricia A. Winans (Respondents) Case Number: 02-05596 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pamela A. Najjar ("Najjar") hereinafter referred to as "Claimant": David Crystal, II, Gilbride, Tusa, Last & Spellane, LLC, Ne