Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03368 Robert W. Copeland Names of the Respondents Hearing Site: Nashville/Tennessee Old National Bancorp ONB Investment Services, Inc. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Robert W. Copeland, hereinafter referred to as "Claimant": Peter M. Olson, Esq., Olson and Wallace, P.C., Clarks

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02156 John Coppola Names of the Respondents Hearing Site: Boca Raton, Florida Vestpoint Securities, Inc. Nowtrade Corporation Charles Keith Byington Shari Fran Rubin-Taylor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John Coppola, hereinafter referred to as "Claimant", appeared pro s

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08365 Roger G. Bellehemeur Joelle M. Bellehumeur Names of the Respondents Hearing Site: Tampa, Florida A. G. Edwards & Sons, Inc. Kashner Davidson Securities, Corporation Brian Andrew Christensen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roger G. Bellehemeur and Joelle M. Bel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05753 Joseph F. McCormick Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley & Co., f/k/a Dean Witter Investments, Inc. David Bolding Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph F. McCormick, hereinafter referred to as "Claimant": Richard G. Rumrell, Esq., Rumr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Morgan Keegan & Company, Inc. Name of the Respondent William Massie Meredith, Jr. Case Number: 04-00777 Hearing Site: Richmond, Virginia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant", was represented by Shea O'Brian Hicks, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 1 William R. Bisbee Claimant(s) vs. 88-00182 National Securities Network Respondent(s) NOTICE OF ARBITRATION AHARD CASE SUMMARY Claimant(s) William R. Bisbee alleged that Respondent(s) National Securities Network mismanaged his account and purchased securities without authorization. Respondent(B) denied all allegations. RELIEF REQUESTED Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 01-02719 Names of Respondents A. Tech Investments, Inc. Andy Blassingame Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant": Pamela P. Pearson, Senior Vice President and Deputy General Counsel, Wachovia, Charlotte, North

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between W. Donald Burnett and Claimants ) Award D. Elaine Burnett ) NASD #88-00176 vs. ) PaineWebber, Inc. and Respondent Robert Bernard SUMMARY OF ISSUES Claimants filed this action on January 20, 1988 against Respondents and alleged fraud, negligent misrepresentations, breach of fiduciary duty and constructive fraud. Specifically, Claimants alleged that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marsha F. Raleigh, Individually, and as Executrix for the Estate of Eugene Raleigh Claimant(s) vs. Planned Investments, Inc. Karen J. Knizley CASE #88-00174 AWARD Respondent(s) CASE SUMMARY Claimant filed this claim on January 13, 1988 and alleged that Respondents fraudulently induced Claimant to sign documents authorizing the investment.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Paolina vs. Steinberg & Lyman Joseph J. Cataldo Claimant Respondents CASE 188-00173 AWARD CASE SUMMARY Claimant alleges Respondent Steinberg & Lyman failed to execute a buy order for 100 shares of Criticare Systems, Inc. and instead ordered a buy for 5000 shares of Medinet, Inc. Claimant further alleges Respondent Steinberg & Lyman fai