Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-02203 Shelley Cohen Name of Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Shelley Cohen, hereinafter referred to as "Claimant": Curtis Carlson, Esq. and V. Michael Arias, Esq., Carlson & Lewittes, P.A., Miami, Florida. For Mo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06033 Gary A. Ferguson, (Claimant) vs. Alexi Bethel, ITRADE Direct.com Corp. and Salomon Grey Financial Corporation, (Respondents) ATTORNEYS: Claimant appeared pro se, Homestead, FL For Respondent (TRADE Direct.com Corp. appeared Stephen B. Wexler, Esq., of the firm Wexler & Burkhart, LLP, Garden City, NY. Respondent Alexi Bethel appeared pro se, Miami Beach, FL For Respondent Salomo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-03949 Thomas W. Derby and Brenda K. Derby Name of the Respondents Hearing Site: St. Louis, Missouri Linsco/Private Ledger Corp. and Ricky Eugene Johnson NATURE OF THE DISPUTE Public Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Thomas W. Derby and Brenda K. Derby, hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth F. Kames (Claimant) vs. Fidelity Investments Institutional Services Company (Respondent) Case Number: 05-03048 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth F. Kames hereinafter referred to as "Claimant": Richard A. Goren, Esq., Rubin, Hay & Gould, P.C., Farmingham, MA. Respondent Fidelity I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen D. Enright (Claimant) vs. Park Avenue Securities, LLC, Mark Anthony DiGiacomo, and David Walter Coyman (Respondents) Case Number: 05-01325 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kathleen D. Enright hereinafter referred to as "Claimant": Lawrence A. Steckman, Esq., Lester Schwa

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant vs. Joseph F. Rudd, III, Respondent Case Number: 06-00522 SITUS: Dallas, Texas NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS Financial Services Inc., hereinafter referred to as "Claimant": Daniel A. Clarkin, Esq., of Davidson & Grannum, LLP. Respondent signed a submission agreement on April 24, 2006, but did n

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05459 Sharon M. Pusin Names of the Respondents Hearing Site: Baltimore, MD Wachovia Securities, LLC Milliet Kim Lanham Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Sharon M. Pusin, hereinafter referred to as "Claimant", appeared pro se. Respondent Wachovia Securities, LLC ("Wach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tina Daniels, (Claimant) vs. Weatherly Securities Corp. and Jason Gross, (Respondents) Case Number: 01-02336 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tina Daniels, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondents Weatherly Securities Corp. ("Weatherly") and Jason Gross ("Gross"), hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Festus and Helen Stacy Foundation, Inc. Douglas and Virlee Stepelton Name of the Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 04-01425 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Festus and Helen Stacy Foundation, Inc. ("Stacy Foundation") and Douglas and Virlee Stepelt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05608 David Lerner Associates, (Claimant/Counterclaim Respondent) vs. Matthew Troncone, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared in-house counsel Steven L. Sormani, Syosset, NY. For Respondent/Counterclaim Claimant appeared Michael Kalmus, Esq., of the firm Michael Kalmus Attorney at Law, New York, NY. NATURE OF DISPUTE: Member v. As