Award NASD Dispute Resolution In the Matter of the Arbitration Between: NftTIFS Of for ("'IfliTflflTiffl Pflftf ]Sf^r"h?rr 02-01204 William Lee and Kathleen Lee ' Hf firing Site* Milwaukee, Wisconsin Robert W. Baird, Inc. and John Lieber Claimants William Lee and Kathleen Lee hereinafter collectively referred to as "Claimants": Paul R. Erickson Esq. of Gutglass, Erickson, and Bonville, located in Milwaukee, Wisconsin. Respondents Robert W. Baird & C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Messina and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Stephen A. Bearden Case Number: 02-01201 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Susan Messina ("Claimant") was represented by Leonard J. Meyer, Esq., Zimmerman, Axelrad, M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-01200 Marcia M. Lockwood, IRA Carol A. Lockwood Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES H. Naill Falls, Jr., Esq., of the firm Falls & Veach located in Nashville, Tennessee and Edwin Hull, HI, Esq. of the firm Cutler & Hull located in Chicago, Illinois represented Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (Claimant) v. Ronald Cournoyer (Respondent) Case Number: 02-01197 Hearing Site: Telephonic Hearing Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. ("MSDW") hereinafter referred to as "Claimant": Jeffrey M. Gershon, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Diane C. F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01196 Donald H. Bamhill, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, New Port Richey, FL. For Respondent appeared in-house counsel, John Bersin, Rancho Cordova, CA. DATE FILED: February 28, 2002 CASE SUMMARY: Claimant alleged that respondent failed to timely process the transfer of his IRA account which created limited access to his funds. Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02472 Richard Adamiak, Claimant vs. Morgan Stanley Dean Witter, Respondent. ATTORNEYS: Claimant, Richard Adamiak, ("Claimant"), appeared Pro Se, Chicago, IL, Respondent, Morgan Stanley Dean Witter, ("Respondent"), appeared through its in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: June 9, 2000 CASE SUMMARY: Claimant alleged that Respondent violated its Client A

" JUN-2B-O3 14 = 37 FROM. ID: PAGE 1/6 Award t ' " ' " NASD Dispute Resolution In the Matter of the Arbitration Between: TJameg e\f thft nammnta ' ' CaseJ^umhfiC: 02-01191 Alvin C. Ross and Betsy Lee Ross Names of Ihft Rfgpnnrfftntg Hearing fifa' Charlotte, NC Morgan Stanley DW, Inc. ffk/a Dean Witter Reynolds? Inc. Jay L Cohen RTCPRKSKNTATOTN OF PARTIES Claimants, Alvin C. Ross and Betsy Lee RosSj hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ___ Case Number: 02-01185 Arthur L. Andrews Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Elizabeth Cornish REPRESENTATION OF PARTIES For Arthur L. Andrews ("Claimant"): Stephen D. Spivey, Esq., Law Offices of Stephen D. Spivey, P. A., Ocala, Florida, and Robert E. Landt, Esq., Landt and Landt, Attorneys at Law, Ocala, F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherry Cartiff and Sherry Caitiff IRA 02-01 1 SI Salomon Smith Barney, Inc. and Jeanette Marie Fay Claimants Sherry Cartiff and Sherry Cartiff IRA ("Cartiff) were represented by Cory 0 Daschbach, Esq. of the law firm of Feldstein Grinberg Stein & Mckee, Pittsburgh, Pennsylvania Respondent Salomon Smith Barney, Inc. ("SSB") was represented by Linda R. Alpert, Esq. of Salomon Smit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f nf the riaimfmt Pase. Number: 02-01180 Robert C. Bloomquist IRA ng nf the Respondents Hearing Site- Baltimore, MD Royal Alliance Associates, Inc. Shimshon Plotkin RFPRFSF.1VTATTON OF PARTIES Claimant, Robert C. Bloomquist IRA ("Bloomquist"), hereinafter referred to as "Claimant", was represented by Thomas C. Costello, Esq., West & Moore, LLC, Baltimore, Maryland. Respo