Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03418 Melvin S. Powell, Jr. MSM Funding Corp. Names of the Respondents Hearing Site: Baltimore, Maryland L.H. Ross & Company, Inc. Robert Vitale Franklyn Michelin Jeffrey Weick Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin S. Powell, Jr. and MSM Funding Corp., hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: AIG Financial Advisors, Inc., Claimant v. Benson J. Munger, Respondent Case Number: 05-05613 Hearing Site: San Diego. California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: John K. Fahey, Esq. AIG Financial Advisors, Inc. Phoenix, Arizona For Respondent: Benson J. Munger In Propria Persona San Marcos, California CASE

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Narng ?f Claimant Dr. Bruce G. Grossman, individually and as Trustee of the4)r. Bruce G. Grossman, M.D. MPPP& T; Dr. Rao Kanuri; Dr. David Nadelman, individually and for the North Suburban Clinic Profit Sharing Plan ; and Medical Center Anesthesia, Ltd. PSPT 94-05076 Name of Respondents Marvin S. Heiman; Sussex Financial Group Inc. REPRESEN

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between James L. Grosso Claimant, v. No. 98-02318 Clarence Ronald Patton Jr., Timothy Joe Terry, and Argent Securities Inc., Respondents REPRESENTATION OF PARTIES Claimant James L. Grosso ("Grosso) appeared pro se. Respondent Argent Securities, Inc. ("Argent") was represented by Thomas R. Todd, Jr., Esq. Respondent Clarence Ronald Patton Jr. ("P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In "thV'Matter of the Arbitration Between ) ) RICHARD G. CARTWRIGHT ) Claimant and ) ) CASE NO. 38-02060 ROSE & CO. (d/b/a) CHARLES SCHWAB ) & CO., INC., CINDY GRAHAM, DIANE ROEING, BARBARA MURRAY, RICHARD STEIN and DINO COZZONE Respondents CASE SUMMARY Richard G. Cartwright {"Claimant") alleges that Rose & Co. (d/b/a Schwab & Co.), Cindy Graham, Diane Roeing, Barbara Murray, R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Renee Lippman Case No. 99-03525 Name of Respondents Dean Witter Reynolds Inc. Steven Shapiro REPRESENTATION OF PARTIES For Renee Lippman ("Lippman"), hereinafter referred to as "Claimant": Darren C. Blum, Esq., Hollywood, Florida. For Dean Witter Reynolds, Inc. ("Dean Witter") and Steven Shapiro ("Shapiro"), hereinafter collectively referred

AWARD NASD REGULATION, INC. IN THE MATTER OF THE ARBITRATION BETWEEN: ELIZABETH BARTOLINI, Claimant v. MARTIN W. SMITH and WORLD SECURITIES, INC., Respondents. NASDR Case No.: 99-05303 Hearing Location: Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Elizabeth Bartollni: Peter R. Sonderby, Esq., Peter R. Sonderby, P.C., 135 South LaSalle Street, Suite 1424, Chicago, Illinois 60603. Respondents, Martin W. Smith and World Securities, Inc., herei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry B. and Doris Tatro 95-02517 Name of Respondents Rauscher, Pierce, Refsnes, Inc. Beacon Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1995, Claimants Harry B. and Doris Tatro ("Claimants"), who appeared Pro Se, alleged that Respondent Beacon Securities ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the' Arbitration Between Name of Claimant Ronald S. Feldman No. 91-03712 Name of Respondents Shearson Lehman Brothers,- BBC. Roger Bach Jay Lescer Rodgers OP PARTIES Claimant Ronald S. Feldman appeared pro se on July 16, 1992. For the hearing held on October 1, 1992 claimant was represented by Dennis A. Bell, Esq. of Bell & McGurk, Ltd., Chicago, II. For R

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joan Venezia custodian for Jennifer D. Venezia and 94-04581 Name of Respondent Kidder, Peabody & Company, inc. Larry J. Schwartz REPRESENTATION OF PARTIES Joan Venezia custodian for Jennifer D. Venezia ("Claimant") was represented by Antonio J. Venezia, Frankfort, Illinois. Kidder, Peabody & Company, Inc. ("Respondent Kid