NASD DISPUTE iRESOLUTION AWARD NASD DISPUTE [RESOLUTION, INC. CASE; 00-03583 Michael Cassidy, Claimant vs. Fidelity Investments, Respondent. ATTORNEYS: Claimant, Michael Cassidy ("Claimant"), appeared Pro Se, Hyde Park, MA. Respondent, Fidelity Investments ("Respondent"), appeared through its in-house counsel, Richelle S. Kennedy, Esq., Boston, MA. DATE FILED: August 14, 2000 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Bruning Family Trust and Gloria Bruning, Claimants v. QA3 Financial Corp., William A. Morrow, Steve Schroeder, and Financial Designs, LTD., Respondents Case Number: 03-02093 Hearing Site: San Diego, California Nature of the Disputes: Customers vs. Member, Associated Person, and Non-Members REPRESENTATION OF PARTIES For Claimants: For Respondent QA3 Financial

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Spruitenburg, Patricia Spruitenburg, and William J. Spruitenburg UGMA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Culver E. Stone, John K. Wilson, Detroy L. Womack, Respondents Case Number: 03-02092 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. and Morgan Stanley Funding Services Corporation, Claimants v. Paul V. Anderson, Edwin W. Trively, III, and Carolyn E. Murray, Respondents Paul V. Anderson, Edwin W. Trively, III, and Carolyn E. Murray, Counter-Claimants v. Morgan Stanley DW Inc. and Morgan Stanley Funding Services Corporation, Counter-Respondents Case Number: 03-02090 Hearing Site: Seattle, Washin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hong Cho Yew, Claimant v. Ameritrade, Inc. n/k/a J.P. Securities Inc., Respondent Case Number: 03-02085 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Hong Cho Yew ProSe Carson, California For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. n/k/a J.P. Securities Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gwen Y. Garden Name of the Respondent Securities Research, Inc. Case Number: 03-02081 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gwen Y. Garden, hereinafter referred to as "Claimant": Richard H. Levenstein, Esq., Kramer, Sewell, Sopko & Levenstein, P.A., Stuart, Florida. For Sec

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas M. Anderson and 03-02071 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Nature of the Dispute; Customer vs. Member. REPRESENTATION OF PARTIES Thomas M. Anderson ("Claimant") appeared pro se. A.G. Edwards & Sons, Inc. ("Respondent") was represented by Michael Naccarato, Esq., A.G. Edwards & Sons, Inc., St, Louis, Missouri.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02063 Peter Frank Ricciardi, Jr., for his Roth IRA & Traditional IRA, Claimant v. Fidelity Brokerage Services LLC and Evan L. Salomon, Respondents. ATTORNEYS: For Claimants, Peter Frank Ricciardi, Jr., ("Claimant"), appeared John F. Hersch, Jr., Esq., Macedonia, OH. Respondents Fidelity Brokerage Services LLC and Evan L. Salomon ("Respondents"), appeared through their in-house counsel Co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeremy Barnes v. Wachovia Securities, LLC, Alan J. Davidofsky and Theodore Geiler Case Number: 03-02062 Hearing Site: New York, NY Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeremy Barnes, hereinafter referred to as "Claimant": WilliamC.Rand, Esq., Law Offices of William Coudert Rand, New York, NY. Wachovia Securities, LLC,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02060 Frederick Goldman Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney Inc. John Banks Andrew Banks Nicole Rothenberg Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Frederick Goldman, hereinafter referred to as "Claimant", appeared pro se. For Salom