Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03685 Joseph M. Giannone, on his own behalf and as custodian for the IRAs of Joseph Giannone, and as custodian for Vincent Giannone and Joseph L Giannone, Jr. Names of the Respondents Hearing Site: Boca Raton, Florida Scudder Investor Services, Inc., Christopher Paul Brisson and JeffPavey Nature of the Dispute: Customer vs. Member Fir

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03683 DeWitt G. Turner Names of the Respondents Hearing Site: Atlanta, Georgia Malachi Group, Inc. Porter B. Bingham Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For DeWitt G. Turner, hereinafter referred to as "Claimant": Glenn A. Delk, Esq., Lightmas & Delk, Atlanta,

• Award * NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants v% < - Case Number: 03-03679 A. Keith Capley Ramona L. Capley Names of the Respondents Hearing Site: New Orleans, Louisiana Morgan Stanley DW, Inc. William N. Cohron Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For A. Keith Capley and Ramona L. Capley, hereinafter collectively referred to as

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant ! Sean P. Craig and 03-03675 Chicago, Illinois Name of Respondents Investment Planners, Inc. ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^_-_.____j_ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Sean P. Craig ("Claimant") was represented by Peter J. Be

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Name of Respondent Joseph E. Paffie Case Number: 03-03670 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson, Manchel & Brennan, of Northvale,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimants Pagp 'Nf^Vj" 03-03668 Keith Engelbrecht and Robert C. Waterman M. G. Securities Group, Inc.; Michael P. Anderson; and, Mark MacGloskey Wearing < si,t< v Dallas, Texas NATURF rn?TfTF pTSPTTTF Public Customers v. Terminated Member Firm and Associated Persons Claimants Keith Engelbrecht ("Engelbrecht") and Robert C. Waterman ("Waterman"), hereinafter collect

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASErOl-01335 Chris Mangini, claimant vs. Solomon Smith Barney, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Woodtsock, VT. For Respondent appeared Kathleen M. McCarthy, Esq., in-house counsel, New York, NY. DATE FILED: March 19, 2001 CASE SUMMARY: Claimant alleged that respondent recommended stocks that were unsuitable to his investment objectives. Claimant further alleged that r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: KENNETH J. CRAWFORD, CYNTHIA A. JESSE Case Number: 03-03667 and PATRICK L. CRAWFORD, Individually and as Co-Trustees of the Patrick J. Crawford Grantor Retained Annuity Trusts #1, #2, #3, #4, #5 and #6, Hearing Site: Milwaukee, Wisconsin MICHAEL T. CRAWFORD, SAMUEL J. CRAWFORD, ELIZABETH M. FLEMING, KATHRYN D. SCHUH and MARY ELLEN TREE, Claimants, v. ' NATIONAL FINAN

06-03-2004 1)3:2Ypni FroiHtachovia Scwi'i11BS ES 4U54039SO T-227 P.002/005 F-793 06/03/2004 14:14 FA** ' NASD $002/005 AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimam; Robert W. Baird & Co, Inc. and 03-03666 Milwaukee, Wisconsin Name of Respondent Matthew Wahl Nature of the Dispute: Member vs. Associated Person. PARTIES Robert W. Baird &. Co- Inc. ("Claimant") was represented by Moira K Moran, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Don E. Nelsen, Claimant v. Piper Jaffrey & Co. (f/k/a US Bancorp Piper Jaffrey Inc.), Steven Wesley Berglund and Bradford Morgan Vorhees, Respondents Case Number: 03-03660 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas D. Adams, Esq. Everett, Washington For Respondents: Robert