Stipulated Award NASD Dispute Resolution In the matter of the Arbitration Between: Patrick J. Brown (Claimant) v. New England Securities Inc. (Respondent) r Case Number: 04-07133 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Patrick J. Brown hereinafter referred to as "Claimant": Paul K. Stecker, Esq., Phillips Lytle LLP, Buffalo, NY. Respondent New England Securities Inc. herei

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02335 John Pina, claimant vs. Ameritrade, Inc. respondent ATTORNEYS: Claimant, John Pina ("Claimant"), appeared Pro Se.. Santa Barbara, CA For Respondent Ameritrade, Inc. (Respondent"), James J. Vihstadt, Senior Regulatory Manager o£ Ameritrade, Inc. Regulatory Department, Bellevue, NE. DATE FILED: May 21, 1999 CASE SUMMARY: Claimant alleged that on Februa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 04-05882 Marcia L. Gersten Names of Respondents Hearing Site: Boca Raton, Florida Kaplan & Co. Securities, Inc. Jed Kaplan Eric K. Blau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marcia L. Gersten, hereinafter referred to as "Claimant": James D. Sallah, Esq., Klein & Sallah,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants L.J and Susan S. Whitmire Name of the Respondent BB&T Investment Services, Inc. Case Number 04-05199 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATION OF PARTTFS Claimants, L.J. and Susan S. Whitmire, hereinafter referred to as "Claimants", were represented by Mathew E. Bates, Esq., Mathew E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03491 Linda Stephens-Jones 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 Linda Stephens-Jones, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum and Silver, LLP, Coral Springs,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip R. Kraus and 04-03373 Kansas City, Missouri Name of Respondents Signator Investors, Inc. James Arthur Gallogly, d/b/a The Heartland Gallogly Agency Stephen Dewey Godfrey, III Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Philip R. Kraus ("Claimant") was represented by John

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kelsey Phipps Living Trust Dated June 7, 2000, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 04-03137 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California For Respondent: Kevin H. Lewis, Esq. Howard

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry and Helen Herman, Claimants Case Number:- 04-03014 v. Hearing Site: Milwaukee, Wisconsin Morgan Stanley DW, Inc. and Pamela K. Grether, Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Harry and Helen Herman (the "Hermans"), hereinafter collectively referred to as "Claimants": Thomas W. Kyle, Esq

REVISED STIPULATED AWARD NASD Dispute Resolution In the Matter of Arbitration Between: Name of Claimant JAMES M. PEDERSON and Case Number: 04-02906 Names of Respondents Hearing Location: Houston, Texas WASHINGTON SQUARE SECURITIES, INC. and JAYKABAD NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES James M. Pederson ("Claimant") was represented by Brian E. Bro, Esq., The Law Offices of Brian Bro, H

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02111 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: New Orleans, LA Michael J. Pagan, Sr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc. ("Morgan"), hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Staff Attorney, Morgan, Memphis, TN. Michae