Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Rosenstock, IRA, Claimant v. Kenneth W. Brown, K.W. Brown Investments, and 21 st Century Advisors, Inc., Respondents Case Number: 03-06364 REPRESENTATION OF PARTIES Claimant, Norman Rosenstock, IRA, ("Claimant"), appeared pro se, Royal Palm Beach, FL. For Respondents, K.W. Brown Investments and Kenneth William Brown appeared Russell L. Forkey, Esq. of Russe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Kay (Claimant) v. Butler Wick & Co., Inc. (Respondent) Case Number: 03-06363 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Steve Kay ('"Kay") hereinafter referred to as "Claimant": James A. DeRoche, Esq., Garson & Associates Co., L.P.A., Cleveland, OH. Respondent Butler Wick & Co., Inc. ("Butler") herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rita A. Spiritelli (Claimant) v. CIBC World Markets Corp. and Bruce M. Tanis (Respondents) Case Number: 03-06361 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rita A. Spiritelli ("Spiritelli") hereinafter referred to as "Claimant" appeared pro se. Respondents CIBC World Markets Corp. ("CIBC") and B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin J. and Maria C. Duel! (Claimants) v. Thomas Morgan Sime and Advest, Inc. (Respondents) Case Number: 03-06360 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin J. and Maria C. Duell hereinafter referred to as "Claimants": Gerald W. Dibble, Esq., Dibble & Miller, PC., Rochester, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06356 Ryan Beck & Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Alfred Cinque Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ryan Beck & Co., Inc., hereinafter referred to as "Claimant": Martin Cole, Esq., New York, New York. For Alfred Cinque, hereinafter referred to as "Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lindsey J. Harman Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter H.Silcox Case Number: 03-06354 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lindsey J. Harman, hereinafter referred to as "Claimant": Robert Blanchard, Esq., L

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Kenneth W. and Frances M. Nettles and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jodie S. Wilson Case Number: 03-06350 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Kenneth W. and Frances M. Nettles ("Claimants") were represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gurbachan S. and Inderjit Kapoor and GS Kapoor MD Inc. and 03-06346 Chicago, Illinois Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Joseph M. Collins Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Gurbachan S. and Inderjit Kapoor and GS Kapoor MD Inc. ("Claimants") were represented by St

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants CaRpN 1im h er ' 03-06342 Darryl Pounds Custodial Account of Delton Pounds Names nf the Respondents Pfcnring Site! Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Jinesh Pravin Brahmbhatt Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Darryl Pounds and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tezoro, Inc., Claimant v. Raymond James & Associates, Inc,, Raymond James Financial Services, Inc., Raymond James Advisory Services, Inc., and Robert Damigella, Respondents Case Number: 01-01668 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Tezoro, Inc., hereinafter referred to as "Claimant": Kenneth S. Sandier, Esq., Kenneth S. Sandier, P.A., Hollywood, Flor