Final Order NASD Dispote Resolution, Inc. In the Mooter of the Arbitration Between: Westwood Anesthesia Associates Retirement Tnist for Richard Lipsky, (Claimant) vs. Bist SecuriQr Investments, Inc., Bear Steams Securities C< »p., and Martin Rokeach, (Respondents) Case Numher; 97-06066 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Westwood Anesthesia Associates R^irement Trust for Richard Lipsliy, hereinafter referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: L.H. Ross & Company, Inc. (Claimant) v. Gerald R. Sharpe, Jr., Nicholas D'Amico, Joseph Carrara and Dawn Sharpe (Respondents) Case Number. 04-08270 Hearing Site: Newark, New Jersey Nature of the Dispute: Temninated Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant LH. Ross & Company, Inc. ("Claimanf), hereinafter refened to as "Claimant": Steven Shore, Esq., Gafner

Amended Award NASD Dispute Resolutfon in the MaViBT of the Arbitration Between: Name of the Ciaimant Case Number 05-03017 Juan l\4iguei Garcia Names of the Respondents Hearing Site: Boca Raton, Fiorida Cit^roup Globai i\Aartcets, inc. iMa Saiomon Smith Barney, inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATIOM OF PARTIgS For Juan l\^iguei Garcia, hereinafter refened to as "Claimanf: Curb's Carlson, Esq., Carlson & l_ewitt

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ruth Yates 97-02798 Name of Respondents J. Bingham Dean Global Strategies Group, Inc. Emmett A. Larkin & Company, Inc. REPRESENTATION For Claimant Ruth Yates ("Yates") appeared Edward V. O'Hanlan, Esq. of the law office O'Rourke O'Hanlan & Zimmermann located in New Canaan, Connecticut. Respondent J. Bingham Dean ("Dean") did not enter an appearance

. * * NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas A. Marchetti Case No. vs. 97-02786 Name of Respondents The Harriman Group, Inc. and Shane Ferras REPRESENTATION For Claimant Thomas A. Marchetti ("Claimant") appeared John E. J.awlor, Esq., located in Mineola, New York. Respondent The Harriman Group, Inc. ("Harriman") did not enter an appearance in this matter. For Respondent Sh

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., (Claimant) vs. James Y. Chinn, (Respondent). Case Number: 00-02031 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Charles Schwab & Company, Inc.,was represented by: Edmund V. Saucedo, Esq. Charles Schwab & Company, Inc. San Francisco, California. James Y. Chinn represented himself. CASE INFORMATION Stat

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rhoda Glass (Claimant) vs. American Express Financial Advisors. Inc., and Knut Lundberg (Respondents) Case Number 05-00043 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rhoda Glass hereinafter refenred to as "Claimanf: Daniel J. Donovan, Esq., Donovan and Rainie, LLC, Baltimore, MD.

Amended Award NASP Plspute Resolution In the Matter of the Arbitration Between: Dennis M. Nigro, The Dennis M. Nigro Trust, The Dennis & Brenda IVI. Nigro Living Trust, and Dennis M. Nigro, MD, Inc., Claimants v. Mutual Service Corporation, Charles W. Leitzke, Leonard G. Voisen, and Michael E. Poston, Respondents Case Number: 05-02417 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION O

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01580 Marguerite A. Kern Names of the Respondents Hearina Site: Richmond, Virginia National Planning Corp. Dale E. Wright Michael J. Thaler John Edward Girouard Capital Investment Advisors, a/k/a Capital Investment Advisors, Inc. Equity Concepts, LLC Nature of the Dispute: Customer vs. Member, Non-Member, and

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08723 Roger Spinks, Sr. Roger Spinks, Jr. Lawrence Juette Estate of Gary Driftmeyer Name of the Respondent Hearing Site: Tampa, Florida R. M. Stark & Co, Inc. Names of the Third-Party Respondents Robert J. Humak Uriel 0. Macias Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Roger Spin