Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gloria Fink Estate of Izak Fink Names of the Respondents Sands Brothers & Co., Ltd. SSI Securities, Inc. f/k/a Shochet Securities, Inc. Leila Kay Shuminer Case Number: 03-08252 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gloria Fink ("Fi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08069 Larry J. & Kathryn Lucano CMA, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: —- For Claimants, Larry J. & Kathryn Lucano CMA, ("Claimants"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Mitchell, Echsner, & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared Julie

* I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07925 Robert W. Baird & Co., Inc., Claimant v. Richard GrafffResporideat. ATTORNEYS: Claimant, Robert W. Baird & Co., Inc., ("Claimant"), appeared through their in-house counsel, Brian D. Trexell, Esq., Milwaukee, WI. Respondent, Richard Graff, ("Respondent"), did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: N

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chloe Kerns Edge TRS/Chloe Edge TR, Claimant v. Miller & Schroeder Financial, Inc. and Scott T. Penwarden, Respondents Scott T. Penwarden, Third-Party Claimant y. MM&S Financial, Inc. s James E. Iverson, Jerome A. Tabolich, Edward J. Hentges, Kenneth R. Larsen, Steven W. Erickson, Paul R. Ekholm, James F. Dlugosch, Joseph K. Halloran, Kenneth E. Dawkins, Thomas S. Nelson, James

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Brian E. Buyack, Raul A. Chavez, Robert D. Cline, Joseph E. Kappes Richard Pew, Paul W. Carbajal, Gary L. Gallaugher, Robert P. Hunt, Keith B. Smith, Daniel Broadley, Craig Riggs, Michael Dubois, Gilbert Damiani, Robert W. Miller, Scott M. Koch, Donald E. Biggs, Tyrone E. Perkins, John Gomez, Richard Castellano, William A. Hayes, Christopher Larsen, G