Award NASD Dispute Resolution In the Matter of the Arbitration Between: Camilla P. Ross, individually and as beneficiary of the Camilla P. Ross IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc, and Perry A. Zeigler, Respondents Case Number: 03-05353 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mitchell S. Ostwald, Esq. Law Offices of Mitche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ; Eli Weinstein, Rivky Weinstein, Rivky Bichler, Fischel Goldberg, and Derech Emuna (Claimants) v. J.P. Turner & Co., LLC and Richard M. Berteletti, Jr. (Respondents) Case Number: 03-05352 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Eli Weinstein ("E. Weinstein"), Rivky Weinstein ("R. Weinstei

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Donna J. Connelly, Individually and as Trustee of the Donna J. Connelly Revocable Trust, the Donna Connelly Grantor Retained Annuity Trust, and the Donna J. Connelly IRA, Patricia Gruska and Michael Connelly, Individually and as Trustees of the Dennis Connelly Family Trust and Case Number: 03-05338 Hearing Site: Detroit, Michigan Respondents M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Roslyn Stutz lonta Case Number: 03-05334 Names of tbe Respondents Advest, Inc. Robert Feldman Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimant, Roslyn Stutz lonta, hereinafter referred to as "Claimant", was represented by Vicki Kuftic Home, Esq., Attor

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05329 Robert H. Burch, Claimant v. Brown & Co. n/k/a J.P. Morgan Invest, LLC and Dreyfus Brokerage Services, Inc., Respondents. ATTORNEYS: Claimant, Robert H. Burch, ("Claimant"), appeared pro se, Collegeville, PA. For Respondents, Brown & Co. n/k/a J.P. Morgan Invest, LLC and Dreyfus Brokerage Services, Inc., ("Respondents"), appeared Jayme L. Butcher, Esq., of the firm Reed Smith LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number 03-05328 Morton and Linda Resnicoff Name of the Respondent Hearing Site- Philadelphia, PA Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Michael Engel Nature of the Dispute: Customer vs. Member and Associated Person. RFPKFSFNTATTON OF PAKTTKS Claimants, Morton and Linda Resnicoff, hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Walters, Claimant v. Roth Capital Partners, LLC and Byron Clarence Roth, Respondents Case Number: 01-01550 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Waiter G. Koontz, Jr., Esq. Law Offices of Walter G. Koontz. Jr. Newport Beach, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Family Revocable Trust, Basil Bernard as Co-Trustee and Marlene Bernard as Co-Trustee Names of the Respondents Morgan Stanley DW, Inc. Denise Chin Quee Case Number: 03-05326 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Family Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05322 Harvey Then and Gloria Then, individually, jointly, and on behalf of any retirement or trust accounts Name of the Respondent Hearing Site: Orlando, Florida Morgan Stanley (Dean Witter), Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harvey Titen and Gloria Titen, individually, jointly, and on be

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne M. Mclntosh IRA; The Anne M. Mclntosh Revocable Trust, Anne M. Mclntosh, Trustee; and FBO Robert Mclntosh Revocable Trust, Anne M, Mclntosh, Trustee (Claimants) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Nicholas Hopley (Respondents) Case Number: 03-05320 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated P