Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Potter and Antonietta M. Potter JTTEN; George Potter and Deborah D. Lee JTWROS, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 04-06868 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: SalimN. Turk, Esq. Liberatore & Turk Los Angeles, California For Respondent: Ronald E. Wood, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bo Hammerich and Case Number: 04-06842 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Bo Hammerich ("Hammerich" or "Claimant") was represented by A. Daniel Woska, Esq., Woska & Hayes, L.L.P., Oklahoma City, Oklahoma. Merril

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Thomas Ries and Ariane Ries and Case Number: 04-06829 Hearing Site: Chicago, Illinois Respondent Fidelity Brokerage Services, LLC. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Ries and Ariane Ries, ("Claimants"), located in Chicago, Illinois were pro se. Fidelity Brokerage Services, LLC., ("Respondent"), or, ("Fidelity"), was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Mutual of Omaha Investor Services, Inc. v. Respondent/Counter-Claimant Nikoh Securities Corporation Case Number: 04-06815 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Member v. Member and Member v. Member REPRESENTATION OF PARTIES Mutual of Omaha Investor Services, Inc. ("Mutual of Omaha" or "Claimant") was represented by David A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald Pozza (Claimant) vs. TransAmerica Financial Advisors, Inc. f/k/a TransAmerica Financial Resources and Eric King (Respondents) Case Number: 04-06810 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Donald Pozza hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Michael J. Elliot

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles D. Manning and Leni C. Manning, Claimants v. Scottrade, Inc., Rodger O. Riney, Randle D, Copeland, and Deric Schare, Respondents Case Number: 04-06807 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Charles D. Manning ProSe Minden, Nevada For Respondents: Sherri C. Strand, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Case Number- 04-06800 Phillip D. Huber Namesjjf the Respondents ' Hearing-Site: Raleigh, North Carolina Sterne, Agee & Leach, Inc. Sterne, Agee & Leach Group, Inc. . , Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant, Phillip D. Huber, hereinafter referred to as "Claimant", was represented by Andrew O.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-06775 Melinda Lampariello, Trustee Jesse L. Lampariello IRR Trust Melinda Lampariello Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melinda Lamp

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Douglas M. Schmidt Names of the Respondents Nicholas S. Matulich and Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 01-00301 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Douglas M. Schmidt, hereinafter referred to as "Claimant": George Denegre, Jr., Esq., Liskow & Lewis, New Orleans, LA. For Respondents Nicholas S. Matulich (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Barbara Nguyen Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 04-06732 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Barbara Nguyen, hereinafter referred to as "Claimant": Randall Place, Esq., Blum & Silver, L.L.P., Coral Springs, Florida. For Merri