Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tanya Van Court, Claimant v. Morgan Stanley & Co, Inc. and Morgan Stanley DW, Inc. (a/k/a Morgan Stanley Dean Witter, Inc.), Respondents Morgan Stanley & Co, Inc. and Morgan Stanley DW, Inc. (a/k/a Morgan Stanley Dean Witter, Inc.), Counter-Claimants v. Tanya Van Court, Counter-Respondent Case Number: 03-07056 Hearing Site: Portland, Oregon Nature of the Disputes: Customer v. Member

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis S. Ruggiero, (Claimant) vs. A.G. Edwards & Sons, Inc. and William Branson, (Respondents) Case Number: 00-01517 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Louis S. Ruggiero, hereinafter referred to as "Claimant": James E. Stern, Esq., a sole practitioner, Syracuse, NY. Respondents, A.G. Edwards & Sons, Inc. ("Edwards") and William Branson ("B

t NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07055 American Express Financial Advisors, Inc., Claimant v. Patrick E. Farier, Respondent. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through their collections agent, Michael Northrop, Minneapolis, MN. Respondent, Patrick E. Farier, ("Respondent"), did not submit an answer in this case. NATURE OF DISPUTE: Member v. Customer DATE FILED: S

NASD REGULATION* INC. AWARD In the Matter of the Arbitration Between Richard M. Fenker, Claimant, and No. 97-02572 Sterling Foster & Co., Inc., Adam Llebennan, Frank Monroig and Michael Matteo, Respondents REPRESENTATION OF PARTIES Claimant, Richard M. Fenker, was leprcsented by Steven B. Caruso, Esq., of Maddox KocUcr Hargctt & Camso, of New York, N.Y. Respondents, Sterling Foster Sc Co., Inc. and Adam Liebemian, were represented by Greg

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert W. Milam, Claimant, No. 95-02502 Ode Discount Corp., and John Zodin, Respondents. REPRESENTATION OF PARTIES Claimant Robert W. Milam was represented by Donald M. Feferman, Esquire, of Feferman & Rehler, L.L.P. located in Corpus Christi, Texas. Respondents Olde Discount Corp. and John Zodin were represented by David T. Doyle, Esquire, of

M A g n AWAPn NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Michele Wolken 95-02389 Names of Respondents W.B. McKee Securities, Inc. and Jeffrey Warren Parkhurst Claimants, Charles and Michele Wolken were represented by N. Henry Simpson, m, Esq. of Simpson Wooliey and McConachie L.L.P. of Dallas, Texas. Respondent, W.B. McKee Securities, Inc. was represented by John Gersten o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W, Schloerb (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) and John W. Schloerb (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-07049 (consolidated w/04-08080) Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant John W. Schloerb ("Schloerb") hereinafter

Award NASD IHspute Resolution In the Matter of the Aibitradon Between: Margaret Codding, Claimant v. Raymond James Financial Services Inc., Legacy Financial Services, Inc., Investors Capital Corp., and James C. Abel, Jr., Respondents Case Number: 03-05945 Hearing Site: Salt lake City, Utah Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents Raymond James Financial Services, Inc.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Betty and Terry Goeke and Names of Respondents Prudential Equity Group, LLC, Wachovia Securities, LLC, and Michael L. Mulloy Case Number: 03-07046 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Betty and Terry Goeke ("Claimants") were represented by Robert E. Lapin,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Larry Bound, Jill Bound, Brian C. McKernan and Shawna Navid, Robert W. Forsythe, the Janet S. Forsythe Irrevocable Life Insurance Trust, Craig Forsythe, Parti L. Speer, Nancy L. Moseley, Thomas Francis, Carl Hatton, Barbara Hatton, Richard Seeley and Martha Seeley, David Hill and Carol Hill, J. David Barnes and M. Jill Barnes, Richard Jensen and Donna