Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Timothy Novelli (Claimant) vs. Samuel C. Palmer, Morgan Stanley DW, Inc., A2Z iTV, Inc. (CA), John Jacobus and A2Z iTV, Inc. (Ohio) (Respondents) Case Number: 04-01732 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Members REPRESENTATION OF PARTIES Claimant Dr. Timothy Novelli, hereinafter referred to as "Claimant": Andrew M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don Edgerton, Claimant v. Prudential Equity Group, LLC, Andrew Shanbrom and Kevin T. Kitchin, Respondents Case Number: 04-01679 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01585 Ina Sue Williams, both personally and as Trustee of The James J. Williams Trust Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW Inc. Steven Ellis Cowan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ina Sue Williams, both personally and as Trustee of Th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith , Inc. (Claimants) vs. Ashley Hodge, Robert Straight and J.C. Bradford & Co. (Respondents). Case Number: 99-03019 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant or Merill Lynch"): Christopher C. Coss, Esq., Rubin Associates, P.C. Respondents, Ashley Hodge ("Hodge") and Robert

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilford Securities, Inc. (Claimant) v. Richard Adam Kasparian (Respondent) Case Number: 04-01375 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Gilford Securities, Inc. ("Gilford") hereinafter referred to as "Claimant": Martin S. Cole, Esq., Martin S. Cole Law Offices, New York, NY. Respondent Richard Adam

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02106 James and Teresa Verrillo Name of the Respondent Hearing Site: Boca Raton, Florida Janney Montgomery Scott, L.L.C. Name of the Third-Party Respondent Albert J. Copperstone Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For James and Teresa Verrillo, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05687 Wayland Adams Teleson Babin and Mary Babin, both individually and in their capacity as Trustees of the Babin Family Trust Willie and Laverne Baker Willard Beard Sharon Bennett individually and in her capacity as the legal survivor of Richard Bennett Eddie Carroll Audrey Crochet Jody Devall and Jody, Andrea and Karr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05754 Nicholas A. Nepor Name of the Respondent Hearing Site: Atlanta, Georgia Lehman Brothers, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Nicholas A. Nepor, hereinafter referred to as "Claimant": Benton J. Mathis, Jr., Esq. and William H. Buechner, Jr., Esq., Freeman Mathis & Gary, Atlanta, Geo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Glaser Capital Corporation, Claimant vs. Duane Kriener, Respondent. Case Number: 97-05900 REPRESENTATION QF PARTIES Claimant, Glaser Capital Corporation, "Glaser", hereinafter referred to as "Claimant", was represented by Thomas Glaser of Cincinnati, Ohio. Respondent, Duane Kriener, "Kriener", hereinafter referred to as "Respondent", was represented by Kenneth R. Jones, Esq., of N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John R. Cosich and Leslie M. Cosich vs. Case Number: 06-01955 Hearing Site: Chicago, Illinois Names of Respondents Linsco Private Ledger Corp. a/k/a Linsco/Private Ledger Corp. and Terry L. Gourley NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES John R. Cosich and Leslie M. Cosich ("Claimants") wer