NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05048 Raymond James Financial Services, Inc., Claimant v. Margaret Kopecki, Respondent ATTORNEYS: For Claimant Raymond James Financial Services ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel, Raymond James Financial Services, Inc. St. Petersburg, FL. Respondent Margaret Kopecki ("Kopecki") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Michael J, McCafferty, Roger A. McCafferty, Barbara L. Berndt and Keri A, Boldan v. 04-05045 Minneapolis, Minnesota Respondents Cap Pro Brokerage Services, Inc., and Legacy Builders Resource Group Nature of Dispute: Customers v. Member and Non-Member with a Contract to Arbitrate REPRESENTATION QF PARTIES Michael J. McCafferty, Roger A. McCafferty, Barbar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. (Claimant) v. Victor M. Rodriguez (Respondent) Case Number: 04-05043 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Mark A. Rosen, Esq., Davidson & Grannum, LLP, Boston, MA. Previously represented by Deborah

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-05041 Thomas E. Lynch and Charlotte E. Lynch and Thomas E. Lynch IRA, Claimants v. Quick & Reilly, Inc.,. Bradley G. Kessler, and Gregory M. Stockton, Respondents ATTORNEYS: For Claimants Thomas E. Lynch and Charlotte E. Lynch and Thomas E. Lynch IRA (collectively "Claimants") appeared Henry F. DeBaggis, Cleveland, OH. For Respondents Quick & Reilly, Inc., Bradley G. Kessler, and Gregory M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Luis Cenedese (Claimant) v, Merrill Lynch, Pierce, Fenner & Smith, Richard S. Wald and Mark Bradburn (Respondents) Case Number: 04-05040 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATTON OF PARTIES Claimant Dr. Luis Cenedese hereinafter referred to as "Claimant": Susan Kiner, an investor representativ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05037 Benton Pumpian Names of the Respondents Hearing Site: Boca Raton, FL Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Benton Pumpian ("Pumpian"), hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum, Silver & Schwartz, LIP, Coral Springs, Florida. For Janney Mont

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05033 James R. Oellerich and Jane H. Oellerich Name of the Respondent Hearing Site: Atlanta, Georgia Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For James R. Oellerich ("JRO") and Jane H. Oellerich ("JHO"), hereinafter collectively referred to as "Claimants": Edward J. D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Keith Orland and Margaret Orland Name of the Respondents Carnegie Investor Services, Inc., Brett A. Kantor, Gregg A. Rosenbaum, Peter L. Falk, Edmund Singer, and Wexford Clearing Services Corporation Case Number: 01-01776 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Keith Orland and Margaret Orland, hereinafter c

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants William C. and Sarah E. Adams Merrill Lynch Pierce Fenner & Smith, Inc., and Carl Lee Thompson Case Number: 04-05026 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES William C. and Sarah E. Adams ("Claimants") were represented by Annette M. Henry, Esq., The Henry Law Firm, Ho

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stephens, Inc. and Case Number: 04-05020 Hearing Site: Houston, Texas NATURE OF CASE Member v. Associated Person REPRESENTATION OF PARTIES Stephens, Inc. ("Claimant") was represented by Jana Kim Keller, Esq., Stephens, Inc., Little Rock, Arkansas. Robert Scott Anderson ("Respondent") of Corpus Christi, Texas, represented himself. CA