Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Roark and Kristine Roark (Claimants) v. Advest, Inc., and David Goodwin (Respondents) Case Number: 04-04766 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Thomas Roark and Kristine Roark hereinafter collectively referred to as "Claimants"; Richard P. Weinstein, Esq., Wein

Award NASD Dispute Resolution In 'trie-Matter-of the Arbitration Between: Namf* rvf the Claimant Pa.w Number* 01-00199 Marvin R. Willis Name- of the Respondents Hearing .Site- Richmond, Virginia Russo Securities Inc., William G. Brown, Alex Korik, Ferdinand Russo, and Richard Anthony Russo RF.PRFSPNTATTOM OF PAKTTF.S Claimant Marvin R. Willis, hereinafter referred to as "Claimant", was represented by James C. Cosby, Esq., Cantor Arkema &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Charlotte B. and James C. Ryan, Sr. and Names of Respondents Multi-Financial Securities Corporation, Sanders Morris Harris, Inc., and Bert Earl Miller, Jr. Case Number: 04-04764 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firms and Associated Person REPRESENTATION OF PARTIES Charlotte B. and James C. Ryan, Sr. ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Ellen Watson, Individually and as Trustee for The Mary Ellen Watson Trust Dated 5/06/93, Claimants v. Morgan Stanley DW Inc. and Theodore T. Rutter, Respondents Case Number: 04-04763 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents: William S. Bonnheim, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc., f/k/a Fahnestock & Co. Inc. (Claimant) v. Mitchell T. Toland (Respondent) Case Number: 04-04759 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., f7k/a Fahnestock & Co. me, hereinafter referred to as "Claimant": Evelyn Bukchin, Esq., Oppenheimer & Co., Inc., New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04752 Michael McMahon Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Michael J. Bock Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael McMahon, hereinafter referred to as "Claimant": Randell Place, Esq., Blum and Silver, LLP, Coral Springs, Flori

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf* rtoimanf C!flse Nnrnher- 04-04744 Henry Saiontz, IRA Names nf thp Respondents Hf-artng Site- Baltimore, MD UBS Financial Services, Inc. Isadore Friedman Nature of the Dispute: Customer vs. Member and Associated Person RFPRF.SFNTATTON OF PARTTF.S Claimant, Henry Saiontz, IRA ("Claimant"), was represented by Thomas C. Costello, Esq., West & Costello, LLC, Balt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: - 04-04739 Joe W. Crutchfield Namp nf t^g 13 psprmHpfrf ffeflfjna Site* Dallas, Texas Edward D. Jones & Co. OF HF TUSPTTTF Public Customer v. Member Firm Claimant Joe W. Crutchfield, hereinafter referred to as "Claimant": Appeared pro se. Respondent Edward D. Jones & Co., hereinafter referred to as "Respondent": William R. Pace, Esq., of the firm of Pace & Rickey, L.L.P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Biancamano and Caroline Evelyn Biancamano (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-04736 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimant Thomas M. Biancamano ("T. Biancamano") and Caroline Evelyn Biancamano ("C. Biancamano") hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Clarence M. Kobus (Claimant) v. Moors & Cabot, Inc., and Charles White (Respondents) Case Number: 04-04735 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Clarence M. Kobus hereinafter referred to as "Claimant": James S. Jones, Esq., James S. Jones, L.P.A., Poland, OH. Respondents Moors & Cabot, In