Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Luis Cenedese (Claimant) v, Merrill Lynch, Pierce, Fenner & Smith, Richard S. Wald and Mark Bradburn (Respondents) Case Number: 04-05040 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATTON OF PARTIES Claimant Dr. Luis Cenedese hereinafter referred to as "Claimant": Susan Kiner, an investor representativ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05037 Benton Pumpian Names of the Respondents Hearing Site: Boca Raton, FL Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Benton Pumpian ("Pumpian"), hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LIP, Coral Springs, Florida. For Janney Mont

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05033 James R. Oellerich and Jane H. Oellerich Name of the Respondent Hearing Site: Atlanta, Georgia Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For James R. Oellerich ("JRO") and Jane H. Oellerich ("JHO"), hereinafter collectively referred to as "Claimants": Edward J. D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Keith Orland and Margaret Orland Name of the Respondents Carnegie Investor Services, Inc., Brett A. Kantor, Gregg A. Rosenbaum, Peter L. Falk, Edmund Singer, and Wexford Clearing Services Corporation Case Number: 01-01776 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Keith Orland and Margaret Orland, hereinafter c

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants William C. and Sarah E. Adams Merrill Lynch Pierce Fenner & Smith, Inc., and Carl Lee Thompson Case Number: 04-05026 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES William C. and Sarah E. Adams ("Claimants") were represented by Annette M. Henry, Esq., The Henry Law Firm, Ho

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephens, Inc. and Case Number: 04-05020 Hearing Site: Houston, Texas NATURE OF CASE Member v. Associated Person REPRESENTATION OF PARTIES Stephens, Inc. ("Claimant") was represented by Jana Kim Keller, Esq., Stephens, Inc., Little Rock, Arkansas. Robert Scott Anderson ("Respondent") of Corpus Christi, Texas, represented himself. CA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: „-/ v Names of the Claimants Case Number: 04-5011 William I. Gold, Individually and as Trustee, TUA William I. Gold DTD 12/5/00 And Ruth H. Gold, Individually and as Trustee, TUA Ruth H. Gold DTD 12/5/00 i , - - . Names'of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Allison! Kumble Nature of the Dispute: Customer vs. Member and Associated Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. M. Schiff and Kathryn M. Schiff, Claimants' v. Prudential Equity Group, LLC, Respondent * i Case Number: 04-05009 Hearing Site: Portland, Oregon Nature of the Dispute: Customers vs. Member • i REPRESENTATION OF PARTIES For Claimants: George S. Trevor, Esq. Trevor & Weixel LLP Corte Madera, California For Respondent: Robert A. Boraks, Esq. Kenneth L.

OCT. 5.1998 9:33flM NflSD REGULRTION FL NO.592 P.17 N.A.S.D. REGULATION, INC. AWARD NASD Regulation, lac. Office of Dispute Resolution In the Matter of the Arbitration Between of Clai Stepie, Agee & Leach, Inc. 98-00254 of Responden Joseph Gray Morrison REPRESENTATION For Claimant: G. Wayne Hillis t Jr., Esq. of the law firm of Parker, Hudson, fcainer & Dobbs, LLP, Atlanta, Georgia. For Respondent; James P. O'Neal, Esq. of the la

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond Hodge, ST. and Urita Hodge, (Claimants) vs. Richard L. Schooley and VTR Capital, Inc., (Respondents) Case Number: 98-00250 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Raymond Hodge, ST. and Urita Hodge, hereinafter referred to as "Claimants": Karyn Hodge, New York, New York. Respondent, Richard L. Schooley ("Schooley") appeared pro.se. Respondent, V