Award NASD Dispute Resolution In the Matter of the Arbitration Between: Candido Rodriguez (Claimant) v. Native American Securities Company, Inc., American International Securities, Inc., and David Wayne Parsons (Respondents) Case Number: 04-07220 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Candido Rodriguez ("Rodriguez") hereinafter referred to as "Claimant": Robe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Stefan Kaplan (Respondent) Case Number: 04-07218 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Stefan Kaplan hereinafter referred to as "Respon

STIPULATED AWARD NASD Dispute Resolution In The Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. and Case Number: 04-07214 Hearing Site: Houston, Texas Name of Respondent Peter D.Foley NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq. and Thomas A. Volz, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07209 Morgan Stanley DW, Inc., Claimant v. Charles M. Porter, Respondent ATTORNEYS: For Claimant Morgan Stanley DW, Inc. ("Claimant") appeared Matthew J. Morelli, Esq., of the firm Ulmer & Berne, LLP, Cleveland, OH, Previously represented by: Diane C. Fischer, Esq., of the firm Kane & Fischer, LTD., Chicago, IL. Respondent Charles M. Porter ("Respondent") did not file a Statement of Answer i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. Schrader and Carol L. Schrader, (Claimants) vs. Wheat, First Securities, Inc. and James L. Fulton, (Respondents) Case Number: 01-00312 Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimants, David R. Schrader ("D. Schrader") and Carol L. Schrader ("C. Schrader"), hereinafter collectively referred to as "Claimants": Joseph E* Altomare, Esq., a sole

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Stephen Seibt, MD, (Claimant) v. Merrill Lynch Pierce Fenner & Smith, Inc. and Howard M. Lippman (Respondents) Case Number: 04-07196 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant R. Stephen Seibt, MD ("Seibt") hereinafter referred to as "Claimant": J. Anklowitz, Esq., Law Office

*' *-. AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert J. Harper and Clara Mae Harper v. 04-07195 Denver, Colorado Respondents D.A. Davidson & Company, Inc., David Glen Jones, Nancy Jean Naus Lori Jo Hubbard and Scott Alan Barstad Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Robert J. Harper and Clara Mae Harper ("Claimants") were represented b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tb^ Claimant rpgpTsJiimher- 04-07192 Morgan Stanley DW Inc. H p flrJTig Sit?' Wichita, Kansas William Herndon OF TTTF Member Firm v. Associated Person Claimant Morgan Stanley DW Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., of Kane & Fischer, Ltd., located in Chicago, Illinois. Respondent William Herndon, hereinafter referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rose A. Davis and 04-07190 Nashville, Tennessee Name of Respondents Amerprise Financial Services f/k/a American Express Financial Advisors, Inc. IDS Life Insurance Company Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Rose A. Davis ("Claimant") was represented by H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, Ten

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Kenneth W.Kline Barbara Kline r- 04-07185 Names of the Respondents Ferris Baker Watts, Incorporated Gail H. Winslow g Site- Washington, DC Nature of the Dispute: Customers vs. Member and Associated Person. RFPRF.SFNTATTON OF PARTTFS Claimants, Kenneth W. Kline and Barbara Kline, hereinafter collectively referred to as "Claimants", were