Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the riflimants Case Nnmhm" 05-00387 Floyd E. Griffin Carolyn F. Griffin Names nf thg Kpspnnrtents Hearing Site: Charlotte, North Carolina Morgan Stanley DW Inc. Charles Carl Stoner Eileen Therese Stoner Nature of the Dispute: Customers vs. Member and Associated Persons. KF.PPF.SFNT ATTON OF PABTTFS Claimants Floyd E. Griffin and Carolyn F. Griffin, hereinafter col

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Evan Timothy King and 05-00382 Chicago, Illinois Name of Respondents First Midstate Incorporated Paul D. Brown Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Evan Timothy King ("Claimant") was represented by Steven Gomberg, Esq. and Beau T. Greiman, Esq., Levenfeld Pearlstein, LLC, Chicago, Ill

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00380 Daniel J. Gibby, (Claimant) vs. ACS Specialist Partners, (Respondent) ATTORNEYS: Claimant appeared pro se, Laguna Beach, CA. For Respondent appeared Timothy P. Kebbe, Esq., of the firm Brunelle & Hadjikow, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 24, 2005 CASE SUMMARY: Claimant alleged that he attempted to close a trade, but due to a computer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Guy Edward Lites, III Case No. 01-00444 Names of Respondents Marion Bass Securities Corp. Jack L. Stapieton Gerald P. Chandik T. Michael Costello Robert J. Brietz, Sr. Marion F. Bass, Jr. Hearing Site: Atlanta, Georgia For Guy Edward Lites, III ("Lites"), hereinafter referred to as "Claimant": S. Lawrence Polk, Esq. and Todd E. Ratne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine V. O'Hagan (Claimant) v. A.G. Edwards & Sons, Inc. and J. Howard Carter (Respondents) Case Number: 05-00375 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Catherine V. O'Hagan hereinafter referred to as "Claimant": Douglas S. Crawford, Esq., Kelly & Brennan, P.C., Wall, NJ. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00373 Jean P. Jenks Name of the Respondent Hearing Site: Tampa, Florida SII Investments, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jean P. Jenks, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida. For SII Investments, Inc., hereinafter referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Spinelli (Claimant) vs. David Lerner Associates (Respondent) Case Number: 05-00359 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Carol Spinelli ("Spinelli") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondent David Lerner Associates ("David Lerner") hereinaf

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Arthur A. Johnson, Individually and as Trustee of the Johnson Funeral Home Inc., Profit Sharing Plans and as Co-Trustee of the Arthur Johnson Trust and Kathleen T. Johnson Trust; Kathleen T. Johnson, Individually and as Co-Trustee of the Arthur Johnson Trust and Kathleen T. Johnson Trust; Todd Johnson, Individually and as Custodian of the Kendra T. Johnso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lowell F. and Sheila G. Gill, Claimants v. Indianapolis Securities, Inc., Mikhail S. Shklovsky, Roger Mezhibovsky, J.P. Turner & Company, L.L.C., and Yosif Hananiya, Respondents Case Number: 05-00355 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: Gary G. Sackett, Esq. Jones Waldo Holb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret W. McDonald (Claimant) vs. Legg Mason Wood Walker, Inc. and John H. Kopeck, III (Respondents) Case Number: 05-00337 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Margaret W. McDonald hereinafter referred to as "Claimant" appeared pro se. Respondents Legg Mason Wood Walker, Inc. ("Legg M