Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles T. Torrisi (Claimant) vs. Morgan Stanley DW Inc. and David Polifroni (Respondents) Case Number: 04-07704 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Charles T. Torrisi hereinafter referred to as "Claimant": Brian Guillorn, Esq., Napoli Kaiser & Bern LLP, New York, NY. Respondents Mor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence Adler and Lori Adler (Claimants) v. Ameritrade, Inc., (Respondent) Case Number: 04-07698 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimant Lawrence Adler ("L. Adler") and Lori Adler ("Lori Adler"), hereinafter collectively referred to as "Claimants": Lawrence Adler appeared pro se. Respondent Ameritrade, I

Stipulated Award NASD Dispute Resolution: In the Matter of the Arbitration Between: • Randi and Richard Rittel and Trust Company of the Ozarks, Inc., Successor Trustee for the. Hofbeck RLT UTA DTS 31/93, Claimants v. RBC Dain Rauscher, Inc., Scott Allen Burns and Partners In Care, Inc., Respondents. Case Number:- 04-07673 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member Firm, Associated Person and Non-

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plrn'manf ' . Casft Number 04-07669 Robert Hale • Name nf fh&Responderit Hearing Rite; Nashville, Tennessee J.J.B Hilliard, W.L. Lyons, Inc. ' i i Nature of the Dispute: Customer vs. Member. i REPRESENTATION OF PARTIES Claimant, Robert Hale, hereinafter referred to as "Claimant", was represented by C. David Mee, Esq., Woska & Hayes, LLP, Kingwood, Texas.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07664 Valerie I. Nager (Claimant) v. Morgan Stanley DW, Inc. and Matthew Petty (Respondents) ATTORNEYS: Claimant Valerie I. Nager ("Claimant") appeared pro se, Orlando, FL. For Respondents Morgan Stanley DW, Inc. and Matthew Petty (collectively "Respondents") appeared Alexander McNeil, Esq., in-house counsel, Morgan Stanley DW, Inc., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and As

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mujesira Music (Claimant) v. Gary Giordano (Respondent) Case Number: 04-07661 Hearing Site: New York, New York Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES Claimant Mujesira Music appeared pro se. Respondent Gary Giordano hereinafter referred to as "Respondent": Michael Utilla, Esq., Utilla & Associates, Brooklyn, NY. CASE INFORMATION St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. Wee, Claimant v. Charles Schwab & Co., Inc., Respondent Charles Schwab & Co., Inc., Third-Party Claimant v. John L. Wee, Third-Party Respondent John L. Wee, Counter-Claimant v. Charles Schwab & Co., Inc., Counter-Respondent John L. Wee, Cross-Claimant v. John D. Wee, Cross-Respondent John D. Wee, Cross-Claimant v. Charles Schwab & Co., Inc., Cross-Respondent Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Thomas (Claimant) vs. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Donald F. Rothermich (Respondents) Case Number: 04-07653 Hearing Site: Columbus. Ohio Nature of the Dispute: Customer vs. Member and Associated Person. V t REPRESENTATION OF PARTIES Claimant David Thomas hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01 -00352 SII Investments, Inc. f/k/a Secura Investments, Inc. Name of the Respondent/ Counter Claimant /Third Party Claimant Donald E. Wallace Hearing Site: Tampa, FL Names of the Third Party Respondents Mark M. Oswald Peter M. Johnson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SII Investm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Martin Hare, Respondents Martin Hare, Counter-Claimant v. Wells Fargo Investments, LLC, Counter-Respondent Martin Hare, Third-Party Claimant v. John J. Peluso, Michael E. Dutton, and James P. Kerr, Third-Party Respondents Case Number: 04-07649 Hearing Site: Seattle, Washin