Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tlv» Plain-iant^ Pagp NiimhpT" 01-05485 Paul M. Winer \ Freight Express, Inc. \ GBI Capital Partners ng Sitft- Philadelphia, PA pir.Piir.CT.NT A TUW ny PAPTTFQ Claimants, Paul M. Winer ("Winer") and Freight Express, Inc. ("Freight Express")» hereinafter collectively referred to as "Claimants", were represented by Glenn S, Gitomer, Esq., McCausland, Keen & Buckman, Rad

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE-.01-05484 Fred J. Alexander Separate Property Trust, claimant vs. UBS PaineWebber, Inc. and Barrett Sinowitz, respondents. ATTORNEYS: Claimant appeared pro se, Santa Monica, CA. For Respondents appeared in-house counsel, Kenneth G. Crowley, Esq., New York, NY. DATE FILED: October 16, 2001 CASE SUMMARY: Claimant alleged that he purchased 500 shares of Pacific Gateway (PGEXQ), a stoc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant LMP Group Limited Partnership and Names of Respondents Morgan Stanley & Co., Inc. d/b/a Morgan Stanley Dean Witter and Jeffrey Neal Case Number: 00-01449 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES LMP Group Limited Partnership ("LMP" or "Claimant") was represented by John A. Hubbard, Esq., Beals Hubbard, P.L.C., Farmington Hi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester W. and Lillian R. Becker, Eugene A. and Mary E. Behlmaier, Josephine Bevilacqua, Roman Gawronski, Carmelita Guglietta, Angela M. Herries, Dolores A. Kennedy, Mary Ann Kuzma, Assunta Luciani, Guido and Jeanette Marzano, and Barbara Scharf (Claimants) vs. Financial Network Investment Corporation (Respondent) Case Number: 01-05481 Hearing Site: Buffalo, New York REPRESEN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05480 Paul R. Kapler and Sharon W. Kapler, Trustees for the Kapler Family Trust, claimants vs. Salomon Smith Barney, Inc. and Larry L. Brown, respondents. ATTORNEYS: Claimants appeared pro se, Modesto, CA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 16, 2001 CASE SUMMARY: Claimants alleged that respondents purchased 5 Intel Long-term Equi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shala Bare (Claimant) v. J.J.B. Hilliard, W.L. Lyons, Inc. and Sara McVey (Respondents) v. Keith Knight (Third-Party Respondent) Case Number: 01-05464 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Shala Bare ("Bare") was represented by Charlie Hess, Esq., CH Charlie He

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Walter J. Paprock, Joanne M. Paprock and Donald M. Paprock and 01-05454 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Norman Rischard Larry Gutsch Ester Grantham REPRESENTATION OF PARTIES Walter J. Paprock, Joanne M. Paprock and Donald M. Paprock ("Claimants") were represented by Burton M. Bentley, Esq., Burton M. Bentley, P

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent First of Michigan Corporation, a Delaware Corporation, n/k/a Fahnestock & Co., Inc. and Names of Respondents/Counter-Claimants J.J.B. Hiliiard, W.L. Lyons, Inc., a Kentucky Corporation, Robert Michael Dorman, Terry Wayne Stanfili, Steven Eugene Anderson, Danny Raiph Young, David Louis Melges, Timothy John Dijack, Mark Aiien Caiice,

NASD DISPUTE RESOLUTIONS, INC. STIPULATED AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Name of Claimant ) A.G. EDWARDS & SONS, INC., ) VS. ) NASD-DR Case No. 01-05453 Names of Respondents ) SOMERSET LIMITED PARTNERSHIP ) and CURTIS LEE ROW, ) REPRESENTATION OF THE PARTIES For the Claimant A.G. Edwards & Sons, Inc.: Phyllis A. Hartrich, Esq., A.G. Edwards & Sons, Inc., St. Louis, Missouri. For Respondents Curtis Lee Row and Somerset Lim

RNR Finr A DR a r In the Matter of Arbitration Between Case: Mark I.. Pfeifcr v. TD Waterhousc, ID Amerilradc, Tim Boyd and Greg Childress. Docket: 2007-016779 Attorneys: For Claimant(s): Carolyn Gebhard - I XULis. TX I'or Rcspondcnt(s): James Vihstadl - (.linaha, NF Date Filed: 7/12/2007 First Scheduled: h/l^/ZOO^) Decided: 7/15/09 Case Sunrmary: i.?ii.'iromcr ^.-hiimniit alU'-ne.f neylijLViKV ri-jinrdini; Ri'Sixindcnr.-*' improi