STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Barry Adams, James Wallace, and Roger Sims, Individually and on Behalf of W.P. Sims vs. Case Number: 05-06221 Hearing Site: Houston, Texas Name of Respondent CIBC World Markets Corporation NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Barry Adams, James Wallace, and Roger Sims, Individually and on Behalf of W.P

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of Arbitration Between: RITA E. MILLER, Individually and As Trustee of the Rita E. Miller Revocable Trust Under Agreement Dated 1/9/97, Claimant, -vs- VESTAX SECURITIES CORPORATION, PREMIER FINANCIAL ADVISORS, INC., TIMOTHY L. FORD, RALPH L. ROTH, ROBERT J. CONLEY, ANTHONY W. MITCHELL, LUKE F. BAUM, GREGORY J. BETCHKAL, RANDALL R. RINGER, PATRICK H. McEVOY, MARINER FINA

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 06-00053 Hearing Site: Chicago, Illinois Name of Respondent William Edgar Tienken NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane, Esq., Diane C. Fischer, Esq., and Christopher

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry C. Neal and Phyllis A. Neal (Claimants) vs. Wachovia Securities, LLC (Respondent) Case Number: 06-01001 Hearing Site: Cleveland. Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Jerry C. Neal ("J. Neal") and Phyllis A. Neal ("P. Neal") hereinafter collectively referred to as "Claimants": Kevin Thomas Roberts, Esq., The Roberts Law Fi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bipinchandra Jhaveri (Claimant) v. Citigroup Global Markets, Inc., Timothy Stauffer, Jon P. Ramey, and William M. Ward (Respondents) v. Kamlesh Jhaveri (Third-Party Respondent) Case Number: 04-05929 Hearing Site: Newark, New Jersey Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons. Third Party Claim: Member Firm and Associated Persons v.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Akram Niroomand-Rad 94-02501 Name of Respondents American Bond Group, Inc. Joseph Mario Minieri REPRESENTATION For Claimant, Akram Niroomand-Rad ("Niroomand-Rad"): Jeffrey R. Surlas, Esq. of Jamerson,. Sutton & Surlas, Coral Gables, Florida. For Respondent,. American Bond Group, Inc. ("ABG"): Aleksandr Shvarts, New York, Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between FREDERICK J. WOLFE and HEATHER B. WOLFE. Claimants, vs. E. F. BUTTON AND CO., INC. and PETER PANOS, Respondents. r ) ) ) ) ) ) ) ) ) ) Case 187-02034 Award Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Arieh Leo Douer Leslie Bishop CASE SUMMARY This claim was filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay A. Bozick (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 05-00569 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jay A. Bozick, hereinafter referred to as ("Claimant"): Jeffrey Liddle, Esq., and David I. Greenberger, Esq., Liddle & Robinson, LLP, New York, NY. Previously represente

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lee Rogers and Lillian F. Ingram vs. Case Number: 97-02224 Hearing Site: Detroit, Michigan Names of Respondents i Kensington Wells, Inc. and Bear Steams Securities Corporation NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Lee Rogers and Lillian F. Ingram ("Claimants") were represented by Keith T. Murphy, Esq., Clarks

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard M. Clyne, an individual and as Trustee of The Robert M. Clyne Trust, Mary T. Clyne, as Trustee of the The Mary T. Clyne Trust, and Stella Clyne, an individual, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and William A. Cecil, Respondents Case Number: 04-06137 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member and Associated P