Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Quick & Reilly, Inc., Claimant v. Andrew Root and Cobum & Meredith, Inc., Respondents Case Number: 03-03110 Hearing Site: Boston, Massachusetts Nature of Dispute: Member v. Associated Person and Member REPRESENTATION OF PARTIES Claimant, Quick & Reilly, Inc., hereinafter referred to as "Claimant": James E. Nealon, Esq., Kelley Drye & Warren, LLP, New York, NY. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 03-03101 Stephen Vaux Names of the RespnnHents Hearing Site- Philadelphia, PA Leonard Fox Janney Montgomery Scott, LLC Dean Witter Reynolds, Inc. n/k/a Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant, Stephen Vaux, hereinafter referred to as "Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Santy and Susan Santy, Claimants v. First Wall Street Corporation and John R. Openshaw, Respondents Case Number: 03-03097 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryville, California For Re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Manuel Silva, Jr. and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and MarkW. Menard Case Number: 03-03092 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Manuel Silva, Jr. ("Claimant") was represented by Robert L. Rolnick, Esq., Houston, T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jannine Del Muro and 03-03089 Chicago, Illinios Name of Respondents James Neunucbel and Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customers vs. Member firm and Associated Person. REPRESENTATION OF PARTIES Jannine Del Muro ("Claimant") was represented by Alan Block, Esq. of Block and Landsman, located in Bruce Chicago, Illinois. Ja

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Warren L. Moore and Names of Respondents Simionescu Associates and Danny L Simionescu Case Number: 03-03088 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Non-Member and Associated Person REPRESENTATION OF PARTIES Warren L. Moore ("Claimant") was represented by Michael P. Marsalese, Esq., The Marsalese Law Group, Southfie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Benjamin Cooper, Claimant Vs. Morgan Keegan & Company, Inc., William H. Borders, II, and Chad L. Conner, Respondents. Case Number: 01-01263 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES David T. Sparks, Esquire, of Mike Breen Attorneys at Law, P.S.C., Bowling Green, Kentucky, represented Claimant Benjamin Cooper ("Cooper")* hereinafter re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Luz Maria Martinez-Pereda, F. Martinez-Pereda, and Martha Melendez, Individually and on behalf of James A. Starr and Case Number: 03-03087 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc., Manny Canales and CarlosAlvarado NATURE OF CASE Customers v. Member Firm and Associated Persons RE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Edward Jaffy and Ellen G. Jaffy, JTWROS Names of the Respondents Rushmore Securities Corporation, Matthew Winslow and Jeffrey Sanders Case Number: 03-03076 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Edward Jaffy and Ellen G. Jaff

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03071 Richard C. Gatson Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc., Scott Svirsky and Victor Peach Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard C. Gatson, hereinafter referred to as "Claimant": Michael J. Cohen, Esq., Cohen &