Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Dale Nelson Trust U/A DTD 6/22/92, Claimant v. Morgan Stanley DW Inc. and Rodney Halvorson, Respondents Case Number: 03-05056 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Roger J. Buffington, Esq. Buffington & Bowling, LLP Irvine, California For Respondents: Jonathan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05054 Donald C. Carter Name of the Respondent Hearing Site: Boca Raton, Florida Bank of America a/k/a Bank of America Securities, L.L.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald C. Carter, hereinafter referred to as "Claimant": David J. Feingold, Esq., Feingold & Kam, L.L.C., Palm Beach Gardens, Flo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Wachovia Securities, LLC v. 03-05052 Minneapolis, Minnesota Respondent / Counter-Claimant Joel Pearson Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant or Counter-Respondent") was represented by Douglas D. Callaway, Esq., of Wachovia Securities, Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) v. Nomura Securities International, Inc. (Respondent) Case Number: 03-05039 Hearing Site: New York, New York Nature of the Dispute: Member v. Member. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"): Howard G. Meyers, III, Esq., Meyers Meyers & Tonachio, New York, NY. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 03-05037 Emmett and Deborah Lescroart Emmett Lescroart, IRA Name nf the Respondent Hearing Site- Philadelphia, PA Goldman, Sachs and Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Emmett and Deborah Lescroart and Emmett Lescroart, IRA, hereinafter collectively referred to as "Claimants", were

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants William and Mary McEhvee and 03-05030 Milwaukee, Wisconsin Name of Respondents Prentice Securities, Incorporated Louis M. Kornman Spencer D. Thomas A. PLUMM Company Nature of the Dispute: Customer vs. Terminated Member, Associated Persons and Non-Member. REPRESENTATION OF PARTIES William and Mary McElwee ("Claimants") were represented by Patr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant r.flgg Niimher; 03-05025 Maurice Arnold Name of the Respondent Hearing Site: Philadelphia, PA Morgan Stanley DW S Inc. f/n/a Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Maurice Arnold, hereinafter referred to as "Claimant", was represented by Scott F. Waterman, Esq., Black & Associ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Fahnestock & Co. Inc. Name of the Respondent Miguel A. Rivera Name of Third Party Respondent Eric J. Shames Case Number: 03-05021 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES •> -•••• For Fahnestock & Co. Inc., hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jean A. Wharton, Trustee for the Dr. Jean A. Wharton Trust and Dr. Jean Wharton IRA, Claimants v. George J. Van Dalen, Jr., and Jarmey Montgomery Scott LLC, Respondents Case Number: 01-01522 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Associated Person and Member REPRESENTATION OF PARTIES For Claimants: Alan F. Hall, Esq. Alan F. Hall and Associates, P.S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05020 Marjorie Paisley, individually and as the beneficiary of the Marjorie Paisley IRA Name of the Respondent Hearing Site: Boca Raton, Florida Sosnowy Investment Management Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marjorie Paisley, individually and as the beneficiary of the Marjorie Paisley