Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02346 Eric M. Behr Names of the Respondents Hearing Site: Boca Raton, FL David Robinson Maria Robinson Midrange Accounting, Inc. Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Eric M. Behr ("Behr"), hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintrau

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02345 Donald R. Boyer and Mary C. Boyer Name of the Respondent Hearing Site: Atlanta, Georgia Dunwoody Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald R. Boyer and Mary C. Boyer, hereinafter collectively referred to as "Claimants": Bruce W. Barnes, Esq., Bruce W. Barnes, P.A., Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02338 William J. Burns, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant William J. Burns ("Claimant") appeared Kathleen P. Toolan, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P. A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Luther M. Dorr, Jr., Esq., of the firm M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Silveo A. lorio (Claimant) vs. Fisher Investments, Inc., Chris Rushton, Charles Schwab & Co., Inc. and Casey D. Ryan (Respondents) Case Number: 04-02335 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Non-Member, Member and Associated Persons REPRESENTATION OF PARTIES Claimant Silveo A. lorio hereinafter referred to as "Claimant": James L. Sonneborn, Esq., Son

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Austin Moore (Respondent) Case Number: 04-02331 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc. hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, TN. Respondent Austin Moore hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elaine B. Owen Revocable Trust, Claimant v. Morgan Stanley DW Inc., Allstate Assurance Company, Michael R. Walters, and Kimberly A. Blindheim, Respondents Case Number: 04-02322 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert L. Crowell, Esq. Crowell, Susich, Owen & Tackets, Ltd. C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02317 Walli Riechert Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Wanda Mayhew Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Walli Riechert, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum, Silver

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services Inc. and 04-02304 Phoenix, Arizona Name of Respondent Christopher E. Chen Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES UBS Financial Services Inc. ("Claimant") was represented by David L. Becker, Esq., Davidson & Grannum, LLP, Northvale, New Jersey. Christopher E. Chen ("Respondent") appeare

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-00001 Dennis E. Hudson & Marie R. Hudson, JTTEN and Dennis E. Hudson, IRA Names of Respondents Hearing Site: Tampa, Florida Dean Witter Reynolds, Inc., David C. Brown, and Kenneth H. Kubik REPRESENTATION OF PARTIES Dennis E. Hudson & Marie R, Hudson, JTTEN, and Dennis E. Hudson, IRA, hereinafter collectively referred to as "C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Stanley DW, Inc. and Case Number: 04-02302 Hearing Site: Dallas, Texas Name of Respondent Toivo V. Glidden NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, hie. ("Claimant") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq. and Jennifer L. Klebes, Esq., Kane & Fischer,