Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Geisenberg IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., The Grossman Group, and Jerome Grossman (Respondents) Case Number: 03-05444 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Mark Geisenberg IRA ("Geisenberg") hereinafter referred to as "Claimant": Allen H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chad Ebbs (Claimant) v. Morgan Stanley DW, Inc. and Douglas Masiello (Respondents) Case Number: 03-05443 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Chad Ebbs ("Ebbs") hereinafter referred to as "Claimant": William C. Moran, Esq., William C. Moran & Associates, P.C., Williamsville, NY. Respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valerie Mihalek, Claimant, v. UBS PaineWebber Inc. n/k/a UBS Financial Services, Inc. and Antonel Urdes, Respondents Case Number: 03-05433 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert Bertsch, Esq. Bertsch & Associates Port Washington, New York For Respondents: Bru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Perrone, Cynthia J. Harty, James Perrone IRA, and Cynthia J. Harty IRA, (Claimants) vs. Glenn Michael Financial, Inc. and Stephen Giannantonio, (Respondents) Case Number: 01-01566 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, James Perrone ("Perrone"), Cynthia J. Harty ("Harty"), James Perrone IRA (Terrene IRA"), and Cynthia J. Harty IRA ("Harty IRA"),

Award NASD Dispute Resolution in the Matter ot the Arbitration between: Name of the Claimant Case Number: 03-05429 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Peter Wallace Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("RJA"), hereinafter referred to as "Claimant": Leslie A. Reese, Esq., Assistant Vice President/Assistant Corporat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05427 Jeffrey D. Travis Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Roy Bruner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jeffrey D. Travis, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW, Inc. ("MSDW") and Roy Bruner ("Br

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas W. Holley Name of the Respondent Walnut Street Securities Incorporated Case Number: 03-05425 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas W. Holley, hereinafter referred to as "Claimant": Richard S. Frankowski, Esq., Whatley Drake L.L.C., Birmingham, Alabama. For Walnut

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05423 Dona Connelly Names of the Respondents Hearing Site: Tampa, Florida Linsco/Private Ledger Corp. Gary Cotter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dona Connelly, hereinafter referred to as "Claimant": Michael H. Schaalman, Esq., Quarles & Brady, LLP, Milwaukee, Wisconsin.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-05422 Dorothy Hanson, Successor Trustee for the Revocable Living Trust of P.O. Hanson Dtd. 9/9/96 Name of the Respondents Hearing Site: St. Louis, Missouri Robert W. Baird & Co., Inc. and NatCitv Investments, Inc. MATIIRF OF niQPIITF Customer vs. Member Firms RFPRFfiFMTATIOM Steve W. Koslovsky, Esq. of Maryland Heights, Missouri re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Shirley Jean Lawrence and 03-05421 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, hie. Robert Harold Kennedy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Shirley Jean Lawrence ("Claimant") was represented by Michael Salcido, Esq., Renaud CookDrury Mesaros PA, Phoenix, Arizona.