AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter-Respondent Stanford Group Company and Name of Respondent / Counter-Claimant Leyla M. Basagoitia Case Number: 03-02025 Hearing Site; Houston, Texas NATURE OF DISPUTE Member Firm vs. Associated Person and Associated Person vs. Member Firm REPRESENTATION OF PARTIES Stanford Group Company ("Claimant" or "Stanford Group") was represented by T

Award NASD Dispute Resolution In the Matter of th6 Arbitration Between: Martha Tarcici, Claimant v. Wayne Lourenco, Respondent Case Number: 03-02013 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Martha Tarcici West Palm Beach, Florida For Respondent: Mark S. Flynn, Esq. Severson & Werson Irvine, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Doron Cohen, (Claimant) vs. First Union Securities, Inc. and Ivan Feiroeth, (Respondents) Case Number: 00-03573 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Doron Cohen, hereinafter referred to as "Claimant": G. Alexander Novak, Esq., Novak & Juhase, New York, NY. Respondents, First Union Securities, Inc. ("FUS") and Ivan Feinseth ("Feinseth"), here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Greig, Claimant v. Tradestation Securities, Inc., Respondent Case Number: 03-02012 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Linda M. Deola, Esq. Reynolds, Motl and Sherwood, PLLP Helena, MT For Respondent: Felix G. Luna, Esq. Heller Ehrman White & McAuliffeLLP Seattle, WA Richar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02009 Charles B. Branson and Deborah B. Levbarg-Eiseuson JNT, Claimant v. Morgan Stanley DW, Inc. f/kte Dean Witter Reynolds, Inc., Alan Greenspan, and John W. Hoekman, Respondents. ATTORNEYS: Claimant, Charles B. Eisenson and Deborah B. Levbarg-Eisenson JNT, ("Claimant 1 '), appeared pro se p St, James, NY, Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Thomas Palamaro v. Raymond, James & Associates, Inc. Case Number: 03-02008 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Michael Thomas Palamaro, hereinafter referred to as "Claimant": Jonathan Sack, Sack & Sack, New York, NY. Respondent, Raymond, James & Associates, Inc. hereinafter referred to as "Respondent": David J. Rice, In-House Counsel for

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Liebenguth and Margaret Liebenguth (Claimants) v. Westrock Advisors, Inc., Greg Martino, Gerard Leo, Steven Dash, and Stephen Zipkin (Respondents) Case Number: 03-02006 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants David Liebenguth and Margaret Liebenguth ("The Liebenguths") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melvin Stevens, Claimant v. Linsco/Private Ledger Corp. and Edwin Bauer, Respondents Case Number: 03-01995 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: H. Thomas Febn, Esq. Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: David S. Markun,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01994 Stifel, Nicolaus & Co., Inc. Name of the Respondent Hearing Site: Chicago, Illinois Stan Parks Type of Controversy: Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Kelly S. Karase, Esq. of the firm Blackwell Sanders Peper Martin, LLP. Respondent Stan Parks did n

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gayle Edmonson and Salvatore F. Coriale and Case Number: 03-01989 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc., and Ray Alexander Thompson NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gayle Edmonson and Salvatore F. Coriale ("Claimants") were represented by R