Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Brennan and Paul Brennan IRA (Claimants) v. Mary Ellen Kay and Prudential Securities, Inc., n/k/a Prudential Equity Group (Respondents) Case Number: 04-04021 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Paul Brennan ("P. Brennan") and Paul Brennan IRA ("P. Brennan IRA") hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Kazatsky and Marsha Kazatsky vs. Tucker Anthony n/k/a RBC Dain Rauscher, Inc. and Robert Haber Case Number: 04-03507 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Harvey Kazatsky and Marsha Kazatsky, hereinafter collectively referred to as "Claimants": Darren C. Blu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Richard D. Eiceman IRRA FBO, Dr. Richard D. Eiceman, Dr. Richard D. Eiceman and Janet S. Eiceman (Claimants) v. Benjamin B. Shankroff and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondents) Case Number: 04-00452 Hearing Site: Philadelphia, Pennsylvania Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Dr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Esther Jahng and Liang-Er Lai, Claimants v. Martin Yung-Shu Fang, Amerivet Securities, Inc., Bluestone Securities, Inc. n/k/a Bestrade, Inc., Mark Chengpin Lee, and Hong Yi Sun, Respondents ' Case Number: 99-02881 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Persons 1 ' i REPRESENTATION OF PARTIES For Claimants:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Held II (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 03-07223 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John E. Held, II ("Held") hereinafter referred to as "Claimant": Carl J. Stich, Jr., Esq., White, Getgey & Meyer Co., LPA, Cincinnati, OH. Previously represented by Ru

Award NASD Dispute Resolution In the Matter of the Arbitration Between: McDonald Investments, Inc. (Claimant) v. Trent D. Feeney (Respondent) Case Number: 02-07471 Hearing Site: Columbus, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant McDonald Investments, Inc., hereinafter referred to as "Claimant": Matthew J. Morelli, Esq., Ulmer & Berne, LLP, Cleveland, OH. Respondent Trent D. Feeney, hereinafter refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01118 Jeremias Andrews and First National Bank of SW Ohio, as trustee for the Jeremias Andrews Trust dated 2/23/95 Name of the Respondent Hearing Site: Baltimore, Maryland Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeremias Andrews and First National Bank of SW Ohio, as trustee f

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William Brett Pittman Name of Respondent Hancock Investment Services, Inc. Walter G. Rogers Betty Lou Rowlen Case Number: 06-00342 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Brett Pittman, hereinafter referred to as "Claimant": Charles D. Franken,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06318 Ruth Schlissel Names of the Respondents Hearing Site: Boca Raton, Florida Raymond James Financial Services, Inc. AmeriFinancial d/b/a Fareri Financial Services, Inc. Anthony Fareri Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ruth Schlissel, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06219 Sandra M. Foley Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sandra M. Foley ("Foley"), hereinafter referred to as "Claimant": Tim B. Wright, Esq., Wright, Ponsoldt & Lozeaum, L.L.