Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Lewis, James Ascher, Irma Ascher, Irma Ascher IRA, and Barbalan Corporation (Claimants) v. Investec Asset Management U.S. Limited, York Securities, U.S. Clearing Corporation, and Brown & Company Securities Corp., n/k/a JP Morgan Invest, LLC., (Respondents) Case Number: 03-03697 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Member and Members. REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 03-03696 Mary Mack Richard Mack Names nf the Respondents Hearing Site: Richmond, VA American Express Financial Advisors, Inc. Peter A. Ramsay Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Mary Mack and Richard Mack, hereinafter collectively referred to as "Claimants", were re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Terranova, Arlene Terranova, and Shelly Steggs, JT, Thomas Terranova IRA, Arlene Terranova ERA, and Shelly Steggs IRA (Claimants) v. Morgan Stanley DW, Inc. and Louis Licata (Respondents) Case Number:03-03695 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Terranova, Arl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03689 Janice Shindel-Styles, Individually and as Joint Trustee with Lee Lysne of the Jan Shindel Trust Account Names of the Respondents Hearing Site: Tampa, FL Charles Schwab & Co., Inc. Raymond James Financial Services, Inc. SunAmerica Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03685 Joseph M. Giannone, on his own behalf and as custodian for the IRAs of Joseph Giannone, and as custodian for Vincent Giannone and Joseph L Giannone, Jr. Names of the Respondents Hearing Site: Boca Raton, Florida Scudder Investor Services, Inc., Christopher Paul Brisson and JeffPavey Nature of the Dispute: Customer vs. Member Fir

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03683 DeWitt G. Turner Names of the Respondents Hearing Site: Atlanta, Georgia Malachi Group, Inc. Porter B. Bingham Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For DeWitt G. Turner, hereinafter referred to as "Claimant": Glenn A. Delk, Esq., Lightmas & Delk, Atlanta,

• Award * NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants v% < - Case Number: 03-03679 A. Keith Capley Ramona L. Capley Names of the Respondents Hearing Site: New Orleans, Louisiana Morgan Stanley DW, Inc. William N. Cohron Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For A. Keith Capley and Ramona L. Capley, hereinafter collectively referred to as

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant ! Sean P. Craig and 03-03675 Chicago, Illinois Name of Respondents Investment Planners, Inc. ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^_-_.____j_ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Sean P. Craig ("Claimant") was represented by Peter J. Be

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Financial Services, Inc. and Name of Respondent Joseph E. Paffie Case Number: 03-03670 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS Financial") was represented by Brent A. Burns, Esq., of Davidson, Manchel & Brennan, of Northvale,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimants Pagp 'Nf^Vj" 03-03668 Keith Engelbrecht and Robert C. Waterman M. G. Securities Group, Inc.; Michael P. Anderson; and, Mark MacGloskey Wearing < si,t< v Dallas, Texas NATURF rn?TfTF pTSPTTTF Public Customers v. Terminated Member Firm and Associated Persons Claimants Keith Engelbrecht ("Engelbrecht") and Robert C. Waterman ("Waterman"), hereinafter collect