Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between G'i" Estate of Ruth O'Neill Burnett Case No. 00-03915 Names of Respondents Franklin Templeton Investor Services, Inc. Franklin Resources, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For the Estate of Ruth O'Neill Burnett (the "Estate"), hereinafter referred to as "Claimant": John Burnett, Esq. of Mohip & Burnett, P.A., St. Petersburg, FL and Bren

02^10/2004 13:03 FAX NASD REGULATION EH002/OQ8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas C. Evans (Claimant) v. Roan-Meyers Associates, LP (Respondent) Case Number: 02-04785 Hearing Site: New York, New York Nature of the Dispute; Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Douglas C. Evans ("Evans") hereinafter referred to as "Claimant" appeared pro se. Respondent Roan-Meyers Associates,

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE:02-04782 Avalon Partners, Inc., claimant vs. Alexander Williams, respondent. ATTORNEYS: Claimant, Avalon Partners, Inc. appeared through its President, Vincent Au, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: August 14, 2002 CASE SUMMARY: Claimant alleged that respondent failed to indemnify claimant for damages resulting from arbitration pursuant t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee J. Twomey and Jason Twomey (Claimants) v. Bane of America Securities, LLC (Respondent) Case Number: 02-04778 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimants, Lee J. Twomey ("L. Twomey") and Jason Twomey ("J. Twomey"), hereinafter collectively referred to as "Claimants": J. Allen Holland, Esq., Lynch,

DISPUTE RESuLUTIOi^ A ,-rARD NASD DISPUTE RESOLUTION CASE: 02-04772 Ellen W. Thomas, claimant vs. Paul R. Walker, Steven Berglund and U.S. Bancorp Piper Jaffray, respondents. ATTORNEYS: Claimant appeared pro se, Aurora, CO. For Respondents appeared in-house counsel, Jennifer R. Relien, Esq., Minneapolis, MN. DATE FILED: August 13, 2002 CASE SUMMARY: Claimant alleged that respondents executed unauthorized transactions on the account. Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04768 Rhodes Family Trust Rachel Rhodes IRA Names of the Respondents Hearing Site: Orlando, Florida UBS PaineWebber, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Russel Thomas Dingman William H. Shepard, HI Gregory G. Ergle Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Hugh A. Cameron and Karen A. Cameron V. 02-04766 Minneapolis, Minnesota Respondents U.S. Bancorp Investments, Inc. and Meredith S. Edstam REPRESENTATION OF PARTIES Hugh A. Cameron and Karen A. Cameron ("Claimants") appeared pro se. U.S. Bancorp Investments, Inc. ("U.S. Bancorp") and Meredith S. Edstam ("Edstam") were represented by David P, Pearson, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Carol A. Rupkey, Individually and Carol Rupkey, Cheryl Armstrong, Suzanne Rupkey and Christine Rupkey as Co-Trustees of the James A. Rupkey Trust u/a/d 4/6/98 and Names of Respondents H&R Block Financial Advisors, Inc. and Victor Peretiatko Case Number: 02-04765 Hearing Site: Souttifield, Michigan NATURE OF CASE Customers v. Member F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: George and Linda Dooley, Claimants v. Linsco/Private Ledger Corp., and Treena L. Tipton, Respondents Case Number: 02-04763 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Christopher Howard, Esq. Holland & Knight LLP Seattle, Washington For Respondents: David J. Frenier

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Loy R. demons, Vita R. demons, demons Family Revocable Trust, Clemons-Eicken Fine European Imports, Inc., and Vita demons, LTD. and 02-04752 Phoenix, Arizona Name of Respondents Berry-Shino Securities, Inc. Christopher J. Mercer Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Loy R. demons, Vit