AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jannine Del Muro and 03-03089 Chicago, Illinios Name of Respondents James Neunucbel and Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customers vs. Member firm and Associated Person. REPRESENTATION OF PARTIES Jannine Del Muro ("Claimant") was represented by Alan Block, Esq. of Block and Landsman, located in Bruce Chicago, Illinois. Ja

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Warren L. Moore and Names of Respondents Simionescu Associates and Danny L Simionescu Case Number: 03-03088 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Member and Associated Person REPRESENTATION OF PARTIES Warren L. Moore ("Claimant") was represented by Michael P. Marsalese, Esq., The Marsalese Law Group, Southfie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Benjamin Cooper, Claimant Vs. Morgan Keegan & Company, Inc., William H. Borders, II, and Chad L. Conner, Respondents. Case Number: 01-01263 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES David T. Sparks, Esquire, of Mike Breen Attorneys at Law, P.S.C., Bowling Green, Kentucky, represented Claimant Benjamin Cooper ("Cooper")* hereinafter re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Luz Maria Martinez-Pereda, F. Martinez-Pereda, and Martha Melendez, Individually and on behalf of James A. Starr and Case Number: 03-03087 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc., Manny Canales and CarlosAlvarado NATURE OF CASE Customers v. Member Firm and Associated Persons RE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Edward Jaffy and Ellen G. Jaffy, JTWROS Names of the Respondents Rushmore Securities Corporation, Matthew Winslow and Jeffrey Sanders Case Number: 03-03076 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Edward Jaffy and Ellen G. Jaff

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03071 Richard C. Gatson Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc., Scott Svirsky and Victor Peach Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard C. Gatson, hereinafter referred to as "Claimant": Michael J. Cohen, Esq., Cohen &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03070 David E. Stewart, Claimant v. GIT Securities Corporation, Respondent. ATTORNEYS: Claimant, David E. Stewart, ("Claimant"), appeared pro se, New Berlin, WI. Respondent, GIT Securities Corporation, ("Respondent"), did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Terminated Member DATE FILED: April 25, 2003 CASE SUMMARY: Claimant alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03069 Bernard Venable, Claimant vs. T. Kenley Jones, Respondent. ATTORNEYS: Claimant, Bernard Venable, ("Claimant"), appeared pro se, LaFayette, LA. Respondent, T. Kenley Jones, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 25, 2003 CASE SUMMARY: Claimant alleged that Respondent has failed to repay him an amount owed for commissions he received on a mutual

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03068 John T. Nagle, Claimant v. H&R Block Financial Advisors, Inc. and Charles Williams, HI, Respondents. ATTORNEYS: Claimant, John T. Nagle, ("Claimant"), appeared pro se, Ft. Lauderdale, FL. Respondents, H&R Block Financial Advisors, Inc. and Charles Williams, HI, ("Respondents"), appeared through their in-house counsel, Lisa S. Fildes, Esq., Detroit, MI. NATURE OF DISPUTE: Customer v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Magier, IRA (Claimant) vs. Bruce Wesley T. Rinschler, Advest, Inc., and Janney Montgomery Scott (Respondents) vs. Janney Montgomery Scott (Third-Party Respondent). Case Number: 03-03066 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Norman Magier, IRA ("Claimant"): Leo W. Des