Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Robert Grenier and Estate of Sandra Grenier, Claimants v. Bane of America Investment Services, Inc. and Shawn J. Tierney, Respondents Case Dumber: 04-00775 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES "•• i For Claimants Michael R. Scott, Esq. , Estate of Robert Grenier and H

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00771 Arlene P. and David Jimenez JNT, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Arlene P. and David Jimenez JNT, ("Claimants"), appeared Jeffrey B. Kaplan, 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 Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frieda Kestin Trust dated 8/14/89, Samuel Kestin.and Marilyn Kestin, as Trustees (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Doppelt (Respondents) Case Number: 04-00767 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION Claimant Frieda Kestin Trust dated 8/14/89, Samuel Kestin and Mar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00766 Brendon Wachter, Claimant v. E*Trade Securities, LLC, Respondent. ATTORNEYS: Claimant, Brendon Wachter, ("Claimant"), appeared pro se, Chicago, IL. Respondent, E*Trade Securities, LLC, ("Respondent"), appeared through its in-house counsel, John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 4, 2004 CASE SUMMARY: Claimant alleged tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry C. Deforest, Claimant v. Standard Investment Chartered, Inc. and John H. Norberg, Respondents Case Number: 04-00756 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona Redwood City, California For Respondents: George Hill, President Jo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sidney Itkin, (Claimant) vs. Kirlin Securities, Inc. and George R. Gonzalez, (Respondents) Case Number: 00-05612 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sidney Itkin, hereinafter referred to as "Claimant": James Wasserman, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondents, Kirlin Securities, Inc. ("Kirlin") and G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Celeste Pennachio and Frances Scarpaci (Claimants) vs. Morgan Stanley Dean Witter, Inc., and Ira Walker (Respondents) 04-00748 and Anthony M. Scarpaci, Jr. (Claimant) vs. Morgan Stanley Dean Witter, Inc., and Ira Walker (Respondents) 04-04147 and Robert Scarpaci and Angela Scarpaci, Robert Scarpaci, IRA, Angela Scarpaci* IRA (Claimants) vs. Morgan Stanley Dean

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard A. Loving, Lyda S. Loving and Loving Living Trust Dated 10/21/98 and 04-00741 Phoenix, Arizona Name of Respondents RBC Dair. Rauscher Inc. Carolyn Lou Waters Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Richard A. Loving, Lyda S. Loving and Loving Living Trust Dated 10/21/98 ("Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. Case Number 04-00736 Grayce T. Campbell Family Limited Partnership Names nf the Respondents Hearing Site- Pittsburgh, Pennsylvania A.G. Edwards & Sons, Inc. Ronald J. Koshar Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATION Off PARTTFS Claimant, Grayce T. Campbell Family Limited Partnership, hereinafter referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stewart E. Bowen, Jr., Claimant v. Cuna Brokerage Services, Inc., XCU Capital Corporation, Inc., and Michael Peacock, Respondents Case Number: 04-00734 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard Sacks Law Office of Timothy A. Canning Novato, California For Respon