Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-04196 Peter Margolis Donald Margolis Michael Oral Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds Inc. Scott Donate Christopher D. McCray Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter Margolis ("PM"), Don

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Daryl and Elizabeth Roecker and 01-03357 Overland Park, Kansas Name of Respondents Bear Stearns & Co., Inc. Darryl A. Lindsey REPRESENTATION OF PARTIES Daryl and Elizabeth Roecker ("Claimants") were represented by Diane A. Nygaard, Esq. and Robin R. LaFollette, Esq. The Nygaard Law Firm, Kansas City, Missouri. Bear Stearns & Co., Inc. ("Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy W. Crawford, (Claimant) vs. Bane Stock Financial Services, Inc., (Respondent) Case Number: 01-03248 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Timothy W. Crawford, hereinafter referred to as "Claimant": Phillip D. Lehmkuhl, Esq., a sole practitioner, Mt. Vernon, OH. Respondent, Bane Stock Financial Services, Inc., hereinafter referred to as "Respondent"

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Don Odom and Donna Odom, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Bob Conklin, Gary Sinnett, Ken Jones, and John Peterson, Respondents rasp. Number: 01-03242 Hearing Site: Anchorage, Alaska RFPRFSFNTATTON OF PARTTFS For Claimants: William F. Brattain, Esq. Baker Brattain, LLC Anchorage, Alaska For Respondent Merrill Lynch, Pierce, Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell L. Keltner, Claimant v. First Union Securities, Inc. and Corey W. Keeling, Respondents Case Number: 01-03235 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Neda Ataie, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respondents: Bruce Lewitas, Esq. Lewitas & Associates, P.C. Chicag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dunklin McCondichie and Billie McCondichie (Claimants) vs. Elliot Nadel, Stephen Comeau, and Tarpon Scurry Investments (Respondents) Case Number: 01-03112 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Dunklin McCondichie ("D. McCondichie") and Billie McCondichie ("B. McCondichie") hereinaft

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02325 • UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia William A. Grist, Jr. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Michael D. Lee, Esq. and Michael B. Roche, Esq., Schuyler, Roche & Zwirner, Chicago, Illinois. For William A. Grist, Jr., hereinafter referred to as "Respondent"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeanne M. Welsh, (Claimant) vs. Kirlin Securities, Inc. and Brian J. Alton, (Respondents) Case Number: 01-02135 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeanne M. Welsh, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP, New York, NY. Respondents, Kirlin Securities, Inc. ("Kirlin") and Brian J. Alton ("Alton"), he

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard Deming and Audrey A. Deming and Robert A. Deming and Sue Hallead Deming and 01-01043 Southfield, Michigan Raymond James & Associates, Inc. Roney & Co. Walter S. Olsson, and Guy W. Staples REPRESENTATION OF PARTIES Richard Deming, Audrey A. Deming, Robert A. Deming and Sue Hallead Deming ("Claimants") were represented by Alfred J. Gemrich, Esq., Howar

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00905 Ronald F. Cox and Carolyn S. Cox, claimants vs. Valdes & Moreno, Inc., First Southwest Company, vs. Tradition Asiel Securities, Inc., and Asiel & Company, LLC. ATTORNEYS: Claimants appeared pro se, Columbia, MO. For Respondent/cross-claim respondent, Valdes & Moreno, Inc. appeared, Marco Listrom, Kansas City, MO. For Respondent/cross-claim claimant/third party claim claimant, Firs