Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary D. Zimmerle, Claimant v. Morgan Stanley DW, Inc and Mark Shupe, Respondents Case Number:- 03-05715 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Gary D. Zimmerle ("Zimmerle"), hereinafter referred to as "Claimant": John J. Miller, Esq., Kansas City, Missou

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Earl Williams and 03-05314 Chicago, Illinois Name of Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Brandon Self Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Earl Williams ("Claimant") appeared Pro Se. H&R Block Financial Advisors, Inc. f/k/a Olde Discount Cor

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Serbin, (Claimant) vs. CIBC Oppenheimer Corporation, (Respondent). Case Number: 99-02328 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Richard Serbin, hereinafter referred to as "Claimant": Richard L. Rothfelder, Esq. and Michael C. Falick, Esq., Fothfelder & Falick, LLP, Houston, Texas and J. Randle Henderson, Esq., Houston, Texas. Respondent, CIBC Oppe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas Moss Names of the Respondents Morgan Stanley DW Inc. Mark D. Fendrick Case Number- 03-04984 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATTON OF PARTTF.S Claimant Nicholas Moss, hereinafter referred to as "Claimant", was represented by Michael Willner and Michael

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Baird & Co., Inc. (Claimant) v. Thomas L. Costantiello (Respondent) Case Number: 03-04748 Hearing Site: Columbus, Ohio Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Robert W. Baird & Co., Inc. ("Baird") hereinafter referred to as "Claimant": Moira K. Moran, Esq., Robert W. Baird & Co., Inc., Milwaukee, WI. Respondent Thomas L. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RJ Investment and Horriat Revocable Trust, Claimants v. Prudential Securities Incorporated, Ebbert Ashby Jones, and Christopher A. Schilling, Respondents Case Number: 03-03607 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03405 Robert Marzulli Names of the Respondents Hearing Site: Tampa, FL Bane of America Investment Services, Inc. John F. Bauder Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Marzulli, hereinafter referred to as "Claimant": James Richard Hooper, Esq., Hooper &

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 03-02926 Marguerite ffianovsky, Claimant vs. Royal Alliance Associates. Inc., and Kenneth Roberts, Respondents. ATTORNEYS: "'" For Claimant appeared Douglas S. Knehr, Esq.» MBA, Lawrtnccville, NX For Respondents appeared Jonathan C. Thau, Esq., of the firm Lubqja & Thau, LLP. New York, NY DATE FILED: : April 21, 2003 CASE SUMMARY: Claimant alleged that Respondents faile

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01391 Eugene Weiss Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc., Lynn Mumford Wagner, and Alan Oehrig Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Eugene Weiss ("Weiss"), hereinafter referred to as "Claimant": Scott

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Ben Silverman Dave Silverman Beverly Hilbert John lagnemma John Merlin Joseph D'Angeli Claimants vs. PaineWebber, Inc. Gary Brown Respondents CASE #88-02700 88-02701 88-02702 88-02703 CASE SUMMARY Claimants, Ben Silverman, Dave Silverman, Beverly Hilbert, John lagnemma, John Merlin and Joseph D'Angeli allege that Respondent,