Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Held II (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 03-07223 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John E. Held, II ("Held") hereinafter referred to as "Claimant": Carl J. Stich, Jr., Esq., White, Getgey & Meyer Co., LPA, Cincinnati, OH. Previously represented by Ru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: McDonald Investments, Inc. (Claimant) v. Trent D. Feeney (Respondent) Case Number: 02-07471 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant McDonald Investments, Inc., hereinafter referred to as "Claimant": Matthew J. Morelli, Esq., Ulmer & Berne, LLP, Cleveland, OH. Respondent Trent D. Feeney, hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01118 Jeremias Andrews and First National Bank of SW Ohio, as trustee for the Jeremias Andrews Trust dated 2/23/95 Name of the Respondent Hearing Site: Baltimore, Maryland Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeremias Andrews and First National Bank of SW Ohio, as trustee f

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William Brett Pittman Name of Respondent Hancock Investment Services, Inc. Walter G. Rogers Betty Lou Rowlen Case Number: 06-00342 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Brett Pittman, hereinafter referred to as "Claimant": Charles D. Franken,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06318 Ruth Schlissel Names of the Respondents Hearing Site: Boca Raton, Florida Raymond James Financial Services, Inc. AmeriFinancial d/b/a Fareri Financial Services, Inc. Anthony Fareri Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ruth Schlissel, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06219 Sandra M. Foley Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sandra M. Foley ("Foley"), hereinafter referred to as "Claimant": Tim B. Wright, Esq., Wright, Ponsoldt & Lozeaum, L.L.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06140 Larry P. Downey Name of the Respondent Hearing Site: Birmingham, Alabama CIBC World Markets Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry P. Downey , hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq., Robert A. Uhl, Esq. and Ryan K. Bakhtiari, Esq., Aidikoff, Uhl & Bak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05832 AIG Financial Advisors, Inc. Names of the Respondents Hearing Site: Tampa, FL Clyde Marshall Thornburg Neven Latchezarov Petrov Jeffrey Guy Labelle Todd David Klimson Robert Wesley Turley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc. ("AIG"), hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05622 Mark B. Poison Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Stanley Dean Witter & Company Richard B. Hirsch Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mark B. Poison, hereinafter referred to as "Claimant": Stephen D. Heninger, Esq., Heninger, Burge, Vargo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James Roach, Alice Roach (deceased) and James Roach, Jr., JTWROS Names of the Respondents Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., Inc. Case Number: 05-05137 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James Roach, Alice Roach (deceased) and James Roach, Jr., JTWROS, herea