Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dino A. Primatesta-Melendez (Claimant) v. Max International Broker-Dealer Corporation, Jamie A. Gomez-Blaya, and Fiserv Securities, Inc. (Respondents) Case Number: 04-08503 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Dino A. Primatesta, hereinafter referred to as "Claimant": Raymond A. Cornell,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack A. Davis, the Jack A. Davis" A" Trust, and the Jack A. Davis "B n Trust, Claimants v. Legacy Financial Services, Inc., Respondent Case Number: 04-08502 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Richard A, Nervig, Esq. Richard A. Nervig, PC Fallbrook, California For Respondent: Jona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08496 Robert Todoroff Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Robert Todoroff, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW Inc. ("MSDW"), hereinafter referred to as "Respondent": David Oppenheim,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Claimant Rayza Karey Name nf the Respondent • Scottrade, Inc. Case Number: 04-08481 Hearing Site: St. Louis, Missouri Nature of the Dispute: Association Person vs. Member Firm REPRESENTATION OF PARTIES Rayza Karey ("Karey"), hereinafter referred to as "Claimant": G. Ware Cornell, Jr., of the law firm Cornell & Associates, P. A., located in Weston, Florida

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08480 Guian A. Roberts Guian A. Roberts Revocable Trust, UAD 1/10/92 Names of the Respondents Hearing Site: Tampa, Florida FMSBonds, Inc. f/k/a First Miami Securities, Inc. Van Zovluck Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Guian A. Roberts and Guian A. Roberts Revocable Trust

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fox & Company Investments, Inc., Claimant v. SWS Securities a/k/a Southwest Securities, Inc., Respondent Case Number: 04-08477 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Timothy J. Thomason, Esq. Mariscal, Weeks, Mclntyre & Friedlander Phoenix, Arizona For Respondent: Corbet F. Bryant, Jr., Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08467 Merton Segal Beverly Segal Names of the Respondents Hearing Site: Boca Raton, Florida Fahnestock & Co. Inc. n/k/a Oppenheimer & Co. Inc. Lee Hartzmark Bruce Hartzmark Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Merton Segal and Beverly Segal, hereinafter re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00386 Harold Rostow, claimant vs. Bishop, Rosen & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Henderson, NV. Respondent appeared through it Vice-President, Thomas Murphy, New York, NY. DATE FILED: January 22, 2001 CASE SUMMARY: Claimant alleged that respondents never notified him of the fees associated with transferring his customer account to another brokerage firm, there

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Keith Vaughn v. 04-08463 Denver, Colorado Respondents Multi-Financial Securities Corporation, Sander J. Ressler, David Alan Riggle, and Ronald Leslie Struhs and Counter-Claimant Multi-Financial Securities Corporation v. Counter-Respondent Keith Vaughn Nature of Dispute: Associated Person v. Member and Associated Persons and Member v. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the (Tlflimant Mary E. Loughery Names nf the Respondents Legacy Financial Services, Inc. Joseph Reed Karsner, IV PaseNnmher- 04-08457 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTFS Claimant, Mary E. Loughery, hereinafter referred to as "Claimant", was represented by William