Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05118 Kathryn Bielefeld Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards and Sons, Inc. Timothy C. Bryant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathryn Bielefeld, hereinafter referred as "Claimant": Allan J. Fedor, Esq., Law Offices of Fedor & Fedor, Largo, Fl

I Award NASD In the Matter of the Arbitration Between; OP Monies, LTD. Partnership, through its General Partners, James Pagano and Bruce Pagano, Claimant v. Morgan Stanley Dean Witter Inc. and Lisa Byron, Respondents Case Number: 01-01531 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For OP Monies, LTD. Partnership, through its General Partners, James Pagano and Bruce Pagano, hereinafter referred to as "Claimant": Nanci S. Landy, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Elaine Telchin Mary Glorio Names of the Respondents Rick St. George Global Financial Advisory, Inc. Intersecurities, Inc. Case Number: 03-05117 Hearing SiteuiFampa. Florida Nature of the Dispute: Customer v. Associated Person, Non-member and Member. BEPRESENTATIQN OF PARTIES For Elaine Telchin ('Telchin") and Mary Glorio ("Gl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Louise Spergel, as Personal Representative of the Estate of Eva Chernow Louise Spergel., Individually Amy Alterman Names of the Respondents Morgan Stanley Dean Witter Susan Somers Case Number: 03-05112 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MarySprandel Case Number: 03-05109 And Raymond James Financial Services, Inc. Hearing Site: Chicago, Illinois Nature of dispute: Customer v Member firms. REPRESENTATION OF PARTIES Claimant, Mary Sprandel ("Claimant") was by Erwin Cohn, Esq. of the firm Cohn & Cohn located in Chicago, Illinois. Respondents Raymond James Financial Services, Inc. and Raymond James &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the C|aimant Case Number: 03-05108 Olga Shipilovai IRRE Trust, Vadim M. Tysin, Trustee Name of the Respondents Hearing Site: Chicago, Illinois Bane One Securities Corp. NATURE OF THE DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES James J. Moylan, Esq., of James J. Moylan and Associates, PC located in Steamboat Springs, Colorado represented Claimants Ol

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Bonnie Henderson, John M. Kelly and Bonnie Henderson and Leslie M. Frith Custodial Acct, Bonnie Henderson, Custodian and 03-05107 Dallas, Texas Name of Respondents Edward D, Jones & Co. Brent A. Gough Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Bonnie Henderson, John M. Kelly and Bonnie Henderson a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants David B. Martin and Kelly M. Martin v. 03-05105 Denver, Colorado Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., RBC Dain Rauscher, Inc. and James Richard Neisler Nature of Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES David B. Martin and Kelly M. Martin ("Claimants") were represented by David E. Graven,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Pase Number 03-05098 Helene Keller Names; nf the Respondents Hearing Site: Philadelphia, PA Quick and Reilly, Inc. Richard Poveromo Nature of the Dispute: Customer v. Member and Associated Person. RF.PRF.SFNTATT01V OF PARTIES Claimant, Helene Keller, hereinafter referred to as "Claimant", was represented by George L. Mahr m, Esq., George L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05096 John W. LeMaster, Claimant v. Edward D. Jones & Co. and David Preston Lindley, Respondents. ATTORNEYS: Claimant, John W. LeMaster, ("Claimant"), appeared pro se, Lexington, KY. For Respondent, Edward D. Jones & Co., ("Edward D. Jones"), appeared Bradford B. Lear, Esq., of the firm Greensfelder, Hemker & Gale, P.C. St. Louis, MO. Respondent, David Preston Lindley, ("Lindley 11 )