Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Sears, Sr. and Lenora Sears, Claimants v. Morgan Stanley DW Inc., Patrick R, Langone, Jr., and Richard J. Dotolo, Respondents Case Number: 04-00912 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, Cali

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theodore K. Helmholt, Claimant, v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert S. Oldham, Respondents. Case Number:- 04-00911 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant, Theodore K. Helmholt ("Helmholt"), hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rafaeil Diamond Co. and Mandana Riahi, (Claimants) vs. Raymond James Financial Services, Inc. and Robert Binkeie, (Respondents) Case Number: 00-05639 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Rafaeil Diamond Co. ("Rafaeil") and Mandana Riahi ("Riahi"), hereinafter collectively referred to as "Claimants": Joseph N. Paykin, Esq., Raice Paykin Krieg & S

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Rita and Spencer Peterson and Names of Respondents Sunset Financial Services, Inc., Bradford R. Burwell, and Bryan S. Behrens Case Number: 04-00905 Hearing Site: Omaha, Nebraska NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Rita and Spencer Peterson ("Petersons" or "Claimants") were repres

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ramon and Maria Vera and Respondents Linsco/Private Ledger Corp!, and Joseph James Behrend Case Number: 04-00904 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Ramon and Maria Vera ("Claimants") were represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00896 Sylvia Yarus & Lance Owen Yarus JTWROS, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Sylvia Yarus & Lance Owen Yarus JTWROS, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00895 Knap Family Revocable Trust, Jack and Hilda Knap, Trustees, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Knap Family Revocable Trust, Jack and Hilda Knap, Trustees, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00894 Mike B. Duckworth, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Mike B. Duckworth, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq., of the firm Maynard, Cooper & Gale, P.C.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00892 Christ Jaeger, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Christ Jaeger, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Bradley B. Rounsaville, Esq., of the firm Maynard, Cooper & Gale, P.C., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00891 Roger Jaeger SEP and Debra Jaeger IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Roger Jaeger SEP and Debra Jaeger IRA, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, ("Respondent") appeared A. Inge Selden, Esq., Ill, o