Award NASD Dispute Resolution In the Matter of the Arbitration Between: Qiangfa Li (Claimant) v. Harris Investor Services LLC (Respondent) Case Number: 03-05128 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Qiangfa Li ("Li") hereinafter referred to as "Claimant" appeared pro se. Respondent Harris Investor Services LLC ("Harris") hereinafter referred to as "Respondent": Corin R. Swi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfl Claimants Case Number: 03-05126 Richard R. Coleman, individually and as owner of the Richard R. Coleman Roll-Over IRA Name of tbe Respondents Raring Site- Charlotte, North Carolina Morgan Stanley DW Inc. Stephen Edward Smith Nature of the Dispute: Customer vs. Member and Associated Person. RF.PKRgFNTATTON OF PAETTRS Claimant, Richard R. Coleman, individually

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Names nf the Claimant^ Case Number: 03-05125 Solomon R. Brown Dorothy S. Brown Name nf the Respondent Hearin£ Site- Raleigh, NC Edward D. Jones & Co. Name; nf the Third-Party Respondent Shawn Davis Nature of the Dispute: Customers v. Member. i REPRESENTATION OF PARTTF.S Claimants, Solomon R. Brown and Dorothy S. Brown, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pase Number 03-05124 Robert T. Clopp Robert!. Clopp IRA Names nf the Respm^rette Hearing Site: Baltimore, Maryland Prudential Securities, Inc. Robert Ronald O'Braitis Nature of the Dispute: Customer vs. Member and Associated Person. RRPKFSFNTATTON OF Claimant, Robert T. Clopp individually and on behalf of his IRA, was represented by Charles Bagle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05118 Kathryn Bielefeld Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards and Sons, Inc. Timothy C. Bryant Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathryn Bielefeld, hereinafter referred as "Claimant": Allan J. Fedor, Esq., Law Offices of Fedor & Fedor, Largo, Fl

I Award NASD In the Matter of the Arbitration Between; OP Monies, LTD. Partnership, through its General Partners, James Pagano and Bruce Pagano, Claimant v. Morgan Stanley Dean Witter Inc. and Lisa Byron, Respondents Case Number: 01-01531 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For OP Monies, LTD. Partnership, through its General Partners, James Pagano and Bruce Pagano, hereinafter referred to as "Claimant": Nanci S. Landy, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Elaine Telchin Mary Glorio Names of the Respondents Rick St. George Global Financial Advisory, Inc. Intersecurities, Inc. Case Number: 03-05117 Hearing SiteuiFampa. Florida Nature of the Dispute: Customer v. Associated Person, Non-member and Member. BEPRESENTATIQN OF PARTIES For Elaine Telchin ('Telchin") and Mary Glorio ("Gl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Louise Spergel, as Personal Representative of the Estate of Eva Chernow Louise Spergel., Individually Amy Alterman Names of the Respondents Morgan Stanley Dean Witter Susan Somers Case Number: 03-05112 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MarySprandel Case Number: 03-05109 And Raymond James Financial Services, Inc. Hearing Site: Chicago, Illinois Nature of dispute: Customer v Member firms. REPRESENTATION OF PARTIES Claimant, Mary Sprandel ("Claimant") was by Erwin Cohn, Esq. of the firm Cohn & Cohn located in Chicago, Illinois. Respondents Raymond James Financial Services, Inc. and Raymond James &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the C|aimant Case Number: 03-05108 Olga Shipilovai IRRE Trust, Vadim M. Tysin, Trustee Name of the Respondents Hearing Site: Chicago, Illinois Bane One Securities Corp. NATURE OF THE DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES James J. Moylan, Esq., of James J. Moylan and Associates, PC located in Steamboat Springs, Colorado represented Claimants Ol