AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Ruth Daniels vs. Name of Respondent Fidelity Brokerage Services, LLC Case Number: 06-02325 Hearing Site: Charleston, West Virginia NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Ruth Daniels ("Claimant") appeared pro se. Fidelity Brokerage Services, LLC ("Fidelity" or "Respondent") was represented by Kerry F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Serena Cirasa (Claimant) v. Corporate Securities Group, Inc., Michael R. Berkoff, and Ralph W. Oelbermann (Respondents) Case Number: 01 -06117 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Serena Cirasa, hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., McGrath & Polvino, PLLC, Williamsville, NY. Respondents, Corporate Securities Group, Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02276 Dr. Furio Constantine Jane Constantine Names of the Respondents Hearing Site: Orlando, Florida Paul McCarthy Julie Decker IMS Partners, Inc. Empire Financial Group, Inc. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Furio Constantine and Jane Constantine

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gladys G. Man, Claimant vs. Midwest Discount Brokers, Inc., San Clemente Securities, Inc., and Rhonda Ladd, Respondents Case Number: 99-03719 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES Claimant: Nathan S. Choi, Esq. Law Offices of Nathan S. Choi Honolulu, Hawaii Respondent Midwest Discount Brokers, Inc.: Anthony J. Durone, Esq. Berkowitz, Feldmiller,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06955 Helen Gayle Kennedy Trust M.M. Kennedy Jr. Family Trust M.M. Kennedy, III Steven Kennedy Lee Kennedy Wesley Kennedy Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc. Jack B. Grubman Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08238 Jean Sweriin Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Mace Tamse Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jean Sweriin, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW, Inc. ("MSDW") and Mace Tams

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert D. Blitz vs. Names of Respondents A.G. Edwards & Sons, Inc. and Michael Scott Karasick Case Number: 06-01677 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Robert D. Blitz ("Claimant") was represented by Lawrence R. Goldberg, Esq., Goldberg Wehrle, LLC, St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter S. Weinreb, Claimant v. J.P. Morgan Securities, Inc. and Gary V. Garabedian, Respondents Case Number: 06-01019 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans Associates Studio City, California For Respondents: Robert J. Stumpf, Jr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Stephenson and Aron Truss, Jr., Trustee of the First Mate Spousal Trust, Claimants v. Morgan Stanley DW Inc., Margaret Mulligan Black, and Antony Gordon, Respondents Case Number: 04-02516 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Denise R. Reed, Claimant v. White Pacific Securities, Inc. and Roy L. Panelli, Respondents Case Number: 04-03449 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas C. Frost, Esq. Shustak & Partners San Diego, California For Respondents: Michael Bolgatz, Esq.