Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 01-01534 James M. McEntyre, IRA Name of the Respondent Hearing Site: Tampa, Florida E*Trade Securities, Inc. REPRESENTATION OF PARTIES For James M. McEntyre, IRA, hereinafter referred to as "Claimant": James M. McEntyre, Sarasota, FL. For E*Trade Securities, Inc., hereinafter referred to as "Respondent": James W. Deacon, Esq. of Kel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05139 Julia A. Strong, Claimant v. Patricia Ruth Huelskoketter and Commerce Brokerage Services, Inc., Respondents. ATTORNEYS: Claimant, Julia A. Strong, ("Claimant"), appeared pro se, St. Louis, MO. For Respondents, Patricia Ruth Huelskoketter and Commerce Brokerage Services, Inc., (collectively "Respondents"), appeared M. Courtney Koger, Esq., of the firm Sanders Conkright & Warren LLP.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Werner Conn and Rita P. Cohn (Claimants) v. Vanguard Marketing Corporation (Respondent) Case Number: 03-05138 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Werner Cohn and Rita P. Cohn ("The Conns") hereinafter collectively referred to as "Claimants" appeared pro se through Werner Cohn. Respondent Vanguard Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garland F. Gonseth and Bernard F. Larkin (Claimants) v. McDonald Investments, Inc. and David E. Soderquist (Respondents) Case Number: 03-05133 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Garland F. Gonseth ("Gonseth") and Bernard F. Larkin ("Larkin") hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fahnestock & Co., Inc. (Claimant) v. Patrice A. Kaul (Respondent) Case Number: 03-05132 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fahnestock & Co., Inc. ("Fahnestock") hereinafter referred to as "Claimant": Cory M. Sobel, Esq., previously Eric J. Shames, Esq., Fahnestock & Co., Inc., New York, NY. Res

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shoshana M. Benes (Claimant) v. Dreyfus Service Corporation and Jeffrey P. Teplansky (Respondents) Case Number: 03-05131 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Shoshana M. Benes ("Benes") hereinafter referred to as "Claimant": Nicholas J. Giuliano, Esq., Philadelphia, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Qiangfa Li (Claimant) v. Harris Investor Services LLC (Respondent) Case Number: 03-05128 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Qiangfa Li ("Li") hereinafter referred to as "Claimant" appeared pro se. Respondent Harris Investor Services LLC ("Harris") hereinafter referred to as "Respondent": Corin R. Swi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfl Claimants Case Number: 03-05126 Richard R. Coleman, individually and as owner of the Richard R. Coleman Roll-Over IRA Name of tbe Respondents Raring Site- Charlotte, North Carolina Morgan Stanley DW Inc. Stephen Edward Smith Nature of the Dispute: Customer vs. Member and Associated Person. RF.PKRgFNTATTON OF PAETTRS Claimant, Richard R. Coleman, individually

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Names nf the Claimant^ Case Number: 03-05125 Solomon R. Brown Dorothy S. Brown Name nf the Respondent Hearin£ Site- Raleigh, NC Edward D. Jones & Co. Name; nf the Third-Party Respondent Shawn Davis Nature of the Dispute: Customers v. Member. i REPRESENTATION OF PARTTF.S Claimants, Solomon R. Brown and Dorothy S. Brown, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pase Number 03-05124 Robert T. Clopp Robert!. Clopp IRA Names nf the Respm^rette Hearing Site: Baltimore, Maryland Prudential Securities, Inc. Robert Ronald O'Braitis Nature of the Dispute: Customer vs. Member and Associated Person. RRPKFSFNTATTON OF Claimant, Robert T. Clopp individually and on behalf of his IRA, was represented by Charles Bagle