Award NASD In the Matter or the Arbitration between: Name of the Claimant Case Number: 01-03140 Prime Charter Ltd., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Kevin I. Zinn REPRESENTATION OF PARTIES For Prime Charter Ltd., Inc. ("PCL") hereinafter referred to as "Claimant": Ronald Schindler, Esq., Fowler White Burnett, P.A., Miami, Florida. Respondent Kevin Zinn ("Zinn") appeared pro se. CASE INFORMATION Statement of C

AWARD NASD Regulation, IDC. Office of Dispute Resolution In the Matter of the Arbitration Between Norman R, Busbee, Claimant, v. No. 94-01957 Thomas Junes Associates, Inc., Jeff Parkhum, Jim Rooney, Marie Douglas, and Peter A. Home, Respondents. Rg r yiqr ft SFNTATTQN OF PARTIES Claimant Norman R. Busbee was represented by David S. Kohm, Esquire of Arlington,: Texas.' Respondents Thomas James Associates, Inc. and Peter A. Hom

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 05-05849 Hearing Site: Minneapolis, Minnesota Name of Respondent Gary A. Rusche NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Diane C. Fisher, Esq., and Ron Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. Gary A.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Clarissa Couch, Executor of Estate of John Couch vs. Case Number: 05-05714 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Clarissa Couch, Executor of Estate of John Couch ("Claimant"), was represented by John B. Veach, III, Esq., Falls & Veach, Ash

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce R. Trabb vs. Case Number: 05-04994 Hearing Site: Chicago, Illinois Name of Respondent J.P. Morgan Securities, Inc. f/k/a Bane One Capital Markets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Bruce R. Trabb ("Claimant") was represented by Michael M. Mulder, Esq., Meites, Mulder, Mollica & Glink, Chicago,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Borough of Crafton as Trustee for the Borough of Crafton Employee's Pension Fund and the Borough of Crafton Police Pension Fund vs. Case Number: 05-04313 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Morgan Stanley DW Inc., Sean McClorey, and Steven W. Wilde NATURE OF THE DISPUTE Customer vs. Member and Associated Per

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sharon Bennett vs. Case Number: 05-04081 Hearing Site: Dallas, Texas Names of Respondents Tracy Lane Melder, Rudolph Andrew Hanson, Jr., Conseco Securities, Inc., f/k/a Conseco Financial Services, Inc., ProEquities, Inc., and Legend Equities Corporation NATURE OF THE DISPUTE Customer vs. Members, Terminated Member and Associated Persons REPRE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Name of Respondent/Counter-Claimant Jon K. Stacker Case Number: 05-02220 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Wachovia") was represented by Douglas D. Callaway, Esq., Wachovia Securities, LLC,

Award NASD Efispute Resolution In the Matter of the Arbitration Between: p. rvf fh? ^IflJmflut *"*fliSf- ^Jnmhpr- 01 -fH 1 "3^ George Koeckritz, Sr. Name. nf thp RftspnpHp.nt^: fJparing Kite- Chicago, Illinois Prudential Securities, Inc., and Bennett A. Mostel Q17 Claimant George Koeckritz, Sr., hereinafter referred to as "Claimant": James M. DeZelar, Esq., of Robbins, Salomon & Pratt, LTD., located in Chicago, Illinois. Respondents Prudenti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. William G. and Karen Carey, Individually, Jointly and as Custodians of their IRA Accounts vs. Case Number: 05-02058 Hearing Site: Indianapolis, Indiana Names of Respondents Raymond James Financial Services, Inc., Frederick L. Dowd, Jeffrey B. Osher, and Fred L. Dowd and Company NATURE OF THE DISPUTE Customers vs. Member, Associated Persons