Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda M. Worobel (Claimant) vs. Morgan Stanley DW, Inc. and Lance Hubeny (Respondents) Case Number: 02-02947 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Linda M. Worobel, hereinafter referred to as "Claimant": Frank Viola, Esq., Viola, Benedetti & Azzolini, LLC, Florham Park, NJ. Respondents, Morgan Stanley DW, Inc. and Lance Hubeny, hereinafter r

Stipulated Award NASD Dispute Resolution In the matter of the Arbitration Between: JAMES HACKBARTH, individually and as guardian for his wife, Pauline Hackbarth, and JAMES HACKBARTH, Executor of the Estate of Pauline Hackbarth, Claimants, v. A.G. EDWARDS AND SONS, INC, AND CHARLES G. HENRY, Respondents. Case No: 02-02946 Hearing Site: Northvale, New Jersey REPRESENTATION OF PARTIES Claimants, James Hackbarth, individually and as guardian for his wife, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: AM Capital LLC, (Claimant) v. Hal J. Pasetsky, (Respondent) Case Number: 02-02945 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, AM Capital LLC, hereinafter referred to as "Claimant": Eden L. Rohrer Esq., dayman & Rosenberg, New York, NY. Respondent, Hal J. Pasetsky, hereinafter referred to as "Respondent": Peter J. Schmerge Esq., Bleakley Platt & Schmidt LLP, Wh

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gary G. Zuffelato and Debra E. Zuffelato v. 02-02943 Denver, Colorado Respondents 1717 Capital Management Company, Bruce D.Hinchley and Financial Concept and Solutions, Inc. Nature of Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Gary G. Zuffelato and Debra E. Zuffelato ("Claimants") were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Larry Carlson and Debra Carlson, Ten Con and Sawmill Lakes, Inc. Names of the Respondents Morgan Stanley Dean Witter and Russell A. Williams Case Number: 02-02941 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Larry Carlson and Debra Carlson, Ten Con and Sawmill Lakes, Inc., hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mathew Janes and Kellie Janes, Claimants v. Morgan Stanley Dean Witter Inc. and Raymond Shaevitz, Respondents Case Number: 02-02938 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Mathew Janes and Kellie Janes hereinafter referred to as "Claimants": Randall W. Henley, Esq., Randall W. Henley, PA S West Palm Beach, FL. For Morgan Stanley Dean Witter Inc. (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02935 James E. Ostrosky, claimant vs. Glen Brandon and J.C. Bradford & Co., L.L.C., respondents. ATTORNEYS: Claimant appeared pro se, Birmingham, AL. For Respondent Glen Brandon appeared Dana N. Pescosolido, Esq., of the firm Saul Ewing, LLP, Baltimore, MD. For Respondent J.C. Bradford & Co., L.L.C. appeared in-house counsel, John E. Jenkins, Esq.* Weehawken, NJ. DATE FILED: May 13,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Timothy A. Johnson and Greta L. Johnson and 00-02736 Minneapolis, Minnesota Name of Respondents Gmntal&Co.,L.L.C. Joseph Maloney, 111 REPRESENTATION OF PARTIES Timothy A. Johnson and Greta L. Johnson ("Claimants") were represented by Mark A. Mitchell, Esq., Rider, Bennett, Egan & Amndel, LLP., Minneapolis, Minnesota. Gruntal & Co., L.L.C. (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Stanford Group Company v. 02-02934 Denver, Colorado Respondent David I. Dougan REPRESENTATION OF PARTIES Stanford Group Company ("Claimant") was represented by Rebecca Hamric, Esq., of Stanford Financial Group, Houston., Texas until a notice of appearance was filed on or about March 12,2003 after which Donald L. Samuels, Esq., of Holme Roberts & Owen LLP, Den

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 02-0293 1 Dennis E. Stein; Daniel Z. Stein UGMA/TX; Jessica L. Stein UGMA/TX; and Nancy J. Stein °f th^ "R pgpnnHftntfl Hearing_Sitg! Dallas, Texas UBS Financial Services Inc. and John Mark Kever PAttTTFS Claimants Dennis E. Stein ("D. Stein"); Daniel Z. Stein UGMA/TX; Jessica L. Stein UGMA/TX; and Nancy J. Stein ( t£ N. Stein"), hereinafter