Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narqe o£.the Claimant, , '' Mark and Mary Jo Rogers Case Number: 03-08458 Name of the Financial Investment Analysts, Inc. Theodore F. Staats Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Mark and Mary Jo Rogers, hereinafter collectively referred to as "Claimants", were

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Page Number- 03-08458 Mark and Mary Jo Rogers Names nf the Respondents Hearing Site' Pittsburgh, Pennsylvania Financial Investment Analysts, Inc. Theodore F. Staats Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTAT10N OF PARTIFS Claimants, Mark and Mary Jo Rogers, hereinafter collectively referred to as "Claimants", w

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08457 Michael D. Newton Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael D. Newton, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florida. For Pr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08443 Qrham andCana Agadglu, Claimants v. Ajneritrade, Ine, n/k/aJJ, Securities, Tnc,, Respondent ATTORNEYS; Claimants Orham and Cana Agadglu (collectively "Claimants") appeared pro se* Medford, ND. For Respondent Ameritrade, Inc. n/fc/a JP. Securities, Inc. ("Ameriiittde") appealed James J, Vihstadt, in-liouse counsel, Ameritrade, Bellevue, NR NATURE OF DISPUTE; Customers vs. Member, """ ""

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitrations Between: Greenbush Tape and Label, Inc. (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Vince Meleco, John Petersen, and Michael Cuomo (Respondents) and Alfred Chenot, Carolyn Chenot, James Chenot, Janice Chenot, William Chenot, and Regina Chenot (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Vince Meleco, John Petersen, and Michael Cuomo (R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Elaine Hartsman v. 03-08436 Minneapolis, Minnesota Respondents American Express Financial Services and Marianne E. Merriman Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Elaine Hartsman ("Claimant") was represented by Karl L. Cambrone, Esq., of Chestnut & Cambrone, P.A., Minneapolis, Minnesota. American Express

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08435 Albert Awakim, Individually, and the Albert Awakim IRA Rollover DTD Marc B. Wolin as Authorized Agent and Representative of Deborah D. Wolin Deborah D. Wolin Roth IRA Marc B. Wolin Roth IRA Kendall A. Wolin UTMA Deborah D. Wolin Traditional IRA Marc B. Wolin Traditional IRA Courtney M. Wolin Name of the Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08434 Eli Jean and Marcia Jean, JTWROS Imaginique Eyewear SRA FBO Eli Jean Imaginique Eyewear SRA FBO Marci A. Jean Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Douglas A. Lindheimer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kevin Pangburn and Julia Bryant and 00-01673 Louisville, Kentucky Name of Respondents Washington Square Securities, Inc. Damon R. Bootes Robert L. Bootes Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Kevin Pangburn and Julia Bryant ("Claimants") were represented by Michael R. Slaughter, Esq., Louis

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Edward G. and June V. Burtt and Names of Respondents Morgan Stanley DW, Inc., and Kevin R. Jenkins Case Number: 03-08429 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Edward G. and June V. Burtt ("Claimants") were represented by Sandra Morehead, Esq., Houston, Texa