Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03824 Bruce Zipper Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Bruce Zipper, hereinafter referred to as "Claimant", appeared pro se. For Sterling Financial Investment Group, Inc., hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03229 Jack T. Cartwright Names of the Respondents Hearing Site: Orlando, FL A.G. Edwards & Sons, Inc. Roxbury Capital Management, LLC Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jack T. Cartwright, hereinafter referred to as "Claimant": Robert E. Austin, Jr., Esq., Law Offices of Robert E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Cooper") and Mary R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 04-07188 Morgan Stanley DW, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Michael E. Blankenship Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley DW, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fisher, Ltd., Chicago, Illinois. For Michael E. Bl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06795 Beverly R. Bamhart Names of the Respondents Hearing Site: Washington, D.C. Legacy Financial Services, Inc. Joseph R. Karsner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Beverly R. Barnhart, hereinafter referred to as "Claimant", was represented by William B. Yo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05484 Marilyn D. Bull as Trustee of the Clive A. Bull Revocable Trust DTD July 13, 1995 Marilyn D. Bull, Individually Names of Respondents Hearing Site: Tampa, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Marvin L. Anderson Douglas Eric Haas Nature of the Dispute: Customer vs. Member and Associated Pers

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian McVeigh, (Claimant) v. Morgan Stanley DW Inc., Mary Kay Aigner, Max Scholfield, (Respondents) Case Number: 01-03213 Hearing Site: New York, NY Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES » Claimant Brian McVeigh ("McVeigh") was represented by Howard Miller, Esq., Hackensack, NJ. Respondents Morgan Stanley DW

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00566 Martin & Yvonne DuRoss Martin DuRoss IRA Martin DuRoss Roth IRA Yvonne DuRoss IRA Yvonne DuRoss Roth IRA Martin DuRoss Martin & Yvonne DuRoss, JTWROS Martin DuRoss IRA Yvonne DuRoss IRA Names of the Respondents Hearing Site: Washington, D.C. McDonald Investments Inc. James Richard Haught, II Raym

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lockwin, LTD vs. Case Number: 06-01995 Hearing Site: Houston, Texas Name of Respondent ETrade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lockwin, LTD ("Claimant") was represented by W. Grim Locke, Managing Partner, Lockwin, LTD, Houston, Texas. E*Trade Securities, LLC ("Respondent" or "ETrade") was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert H. Rewoldt vs. Names of Respondents Raymond James Financial Services, Inc. Raymond James & Associates, Inc., Raymond James Ltd., Inc., and Frank E. Hook Case Number: 05-06570 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Robert H. Rewoldt ("Claima