Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sim C. Hoffman, M.D., Claimant v. National Financial Services LLC and Henry Fereydouni a/k/a Hamid Fereydouni, Respondents Case Number: 04-04302 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent National Financial Services LLC: For Respondent Henry Fereydouni a/k/a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03697 Ryan Beck & Co., Inc., Claimant v. Michael G. Tepperman, Respondent ATTORNEYS: For Claimant Ryan Beck & Co., Inc. ("Claimant") appeared Jennifer Woods Burke, Esq., previously David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Michael G. Tepperman ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03445 Gale M. Kuznicki, Individually and as Trustee for the Henry Kuznicki Trust, and on behalf of her IRA Name of the Respondent Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gale M. Kuznicki, Individually and as Trustee for the Henry Kuznicki Trus

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Winston K. Smart and 04-03442 Nashville, Tennessee Name of Respondent Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Winston K. Smart ("Claimant") was represented by John B. Veach, ffl, Esq., Falls & Veach, Asheville, North Carolina. Morgan Stanley DW Inc. ("Respondent") was represented by James F. San

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Name of foe Claimant ) Case Number: 04-03440 Barry N. Rosenblum, Trustee of the ) Barry N. Rosenblum MD PC Profit Sharing Plan ) Dtd 1-1-92 ) Name of the Respondent ) H ear ing Site: St. Louis, Missouri A.G. Edwards & Sons. Inc. ) MATURE OP Customer vs. Member Firm f>F PARTIES Ronald L. Rothman, Esq. of the law firm Librach & Rothman, P.C., located in St. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Jay Weissberg (Claimant) v. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 04-03347 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael Jay Weissberg ("Weissberg") hereinafter referred to as "Claimant" appeared pro se. Respondent TD Waterhouse Investor Services, Inc. ("TD Waterh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03249 Beverly A. Weigand Name of the Respondent Hearing Site: New Orleans, Louisiana Securities America, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly A. Weigand, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Securities Amer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE: 01-03106 Preferred Securities Group, claimant vs. Scott Howard Weissman, respondent. ATTORNEYS: For Claimant: Vic Lessinger, In-House Counsel, Boca Raton, FL Respondent appeared pro-se., Ft. Lauderdale, FL. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay advanced commissions upon termination as stated in an Agreement he made with claimant. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Attilo and Marie Catani (Claimants) v. Thomas M. Mackenzie, Reynold Vaughan and Kirlin Securities, Inc. (Respondents) Case Number: 04-03109 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Attilo Catani and Marie Catani hereinafter collectively referred to as "Claimants": Vincent J. Imbesi, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01975 Robert Morris Friedman Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Insurance Company of America Cheryl Borek Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Morris Friedman, hereinafter referred to as "Claimant": Rachelle R. McBride, Esq., S