Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., A Division of Fahnestock & Co., Inc. (Claimant) v. Adam H. Andres (Respondent) Case Number: 03-03556 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., A Division of Fahnestock & Co. ("Oppenheimer") hereinafter referred to as "Claimant": Andrew Kohler, Esq., Oppenheimer &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald J. Keilly (Claimant) v. Sands Brothers & Co. Ltd., Steven B. Sands, and Martin S. Sands (Respondents) Case Number: 03-03553 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ronald J. Keilly ("Keilly") hereinafter referred to as "Claimant": Leslie Trager, Esq., Morley & Trager, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward W. Bigler and Sandra K. Bigler, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Philip J. Loftus, John P. Hughie and William D. Brewer, Respondents Case Number: 03-03548 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James C. Loy, Esq. Attorney at Law Portland,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03543 Dana J. Weinkle and Susan H. Weinkle JTTEN Dana J.Weinkle IRA Susan Holloway Weinkle IRA Dana J. Weinkle on behalf of Palm Coast Eye Center P.A. Profit Sharing Plan F/N/A Dana J. Weinkle TTEE Profit Sharing Plan U/A/D 07/07/95 FBO Dana J. Weinkle Dana J. Weinkle Cust for Justin J. Weinkle UTMA/FL Dana J. Weinkle Cus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03541 Elta Cheramie Names of the Respondents Hearing Site: New Orleans, Louisiana UBS PaineWebber, Inc. Thomas Breaux Bill Miller Dan Shaw Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elta Cheramie, hereinafter referred to as "Claimant": J. Douglas Sunseri, Esq., Nicaud

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael A. and Joann Collegio, individually and as joint tenants Name of the Respondent Morgan Stanley DW, Inc., a Delaware corporation Case Number: 03-03539 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Michael A. and Joann Collegio, individually and as joint tenants, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimants Case Number- 03-03537 Frederick and Dorothy Myers Name of tin? Respondents Hearing Site- Philadelphia, PA American Express Financial Advisors, Inc. Thomas Robbins Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATION OF PARTTFS Claimants, Frederick and Dorothy Meyers, hereinafter collectively referred to as "Claimants", w

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Earl R. Ehlers and Susan Ehlers and Case Number: 03-03535 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., John Desenberg, Julius Desenberg, The Desenberg Group, and J. Michael Woodlock NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Earl R.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Dale ( and Case Number: 03-03531 Hearing Site: Troy, Michigan Names of Respondents 1 1 Dominion Investor Services, Inc. Kathy L. Colby and Financial v Independents, Inc. , NATURE OF DISPUTE Customer v. Member, Associated Person and Non-Member 1 i REPRESENTATION OF PARTIES John Dale ("Claimant") was represented by A

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01317 Joseph Litner, M.D., Ph.D Names of the Respondents Hearing Site: New Orleans, LA Salomon Smith Barney Inc. Frank Melia Glenn H. Fischer REPRESENTATION OF PARTIES For Joseph Litner, M.D., Ph.D, hereinafter referred to as "Claimant": Philip Montelepre, Esq., New Orleans, LA. For Respondents Salomon Smith Barney Inc. ("SSB") and Frank Melia ("Mel