Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01229 Fidelity Brokerage Services, LLC Names of the Respondents Hearing Site: Boca Raton, Florida Julian Garcia Sellek and Kathleen R. Garcia-Sellek REPRESENTATION OF PARTIES For Fidelity Brokerage Services, LLC ("Fidelity"), hereinafter referred to as "Claimant": Michael R. Weissman, Esq., Bingham Dana, LLP, Boston, Massachusetts. Julian

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy S. Steinmetz, (Claimant) vs. Ehrenkrantz King Nussbaum, Inc., Jan E. Grossman, and Gruntal & Co., L.L.C., (Respondents) Case Number: 00-00714 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dorothy S. Steinmetz, hereinafter referred to as "Claimant": James A. Scarpone, Esq., Hellring Lindeman Goldstein & Siegal LLP, Newark, NJ. Respondents, Ehr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Carlton Individually and as Power of Attorney for Joy Ann Carlton, Lance Carlton, Alana Carlton and Ramona Maceira (Claimants) v. Clarke Asset Management Corporation, Kara Clarke, Horowitz & Associates, Inc. a/k/a G.A. Horowitz & Associates, Inc., Northeast Securities, Inc., a/k/a Northeast Asset Management Corporation, Charles Schwab & Co., Inc., Prudential Securities Inc., and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sebastian Rollo and Michaelle A. Rollo (Claimants) v. Morgan Stanley DW, Inc., Jeffrey Camp, and Richard Breining (Respondents) Case Number: 03-02856 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associate Persons REPRESENTATION OF PARTIES Claimants Sebastian and Michalle A. Rollo ("Rollos"), hereinafter collectively referred to as "C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02845 Charlotte J. McDaniel Kirk McDaniel Kelsey Name of the Respondent Hearing Site: Atlanta, Georgia Prudential Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charlotte J. McDaniel ("McDaniel") and Kirk McDaniel Kelsey ("Kelsey"), hereinafter collectively referred to as "Claimants": Robe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Bill Zuehlke v. 03-02839 Denver, Colorado Respondents Market Wise Securities, LLC, Terra Nova Trading, LLC MWSI Holdings, Inc., David S. Nassar, Thomas McCafferty, Kevin Ward, and TAL Financial Services, LLC NATURE OF DISPUTE Customer v. Members, Associated Persons and Non-Members REPRESENTATION OF PARTIES Bill Zuehlke ("Claimant") was

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Name nf the Respondents Bruce A. Barnhart, Jr. Case Number; 03-02838 Hearing Site: St. Louis, Missouri NATTTRIT OF THSPTTTR Member Firm vs. Associated Person OF PARTTFS Clay L. Grumke, Esq. of A.G. Edwards & Sons, Inc. ("A.G. Edwards") located in St. Louis, Missouri, hereinafter referred to as "Claimant." John E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sarah Friedman (Claimant) v. Gruntal & Co., L.L.C., Michael Friedman, Robert Rittereiser, Lee Fensterstock s Henry Gottmann, Joanne Marren, Stephen Byers, Saul Federman, and Abe Borenstein (Respondents) Case Number: 03-02832 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Sarah Friedman

Stipulated Award NASD Dispute Resolution . Names of Claimants: Gene Palmieri and Judy Palmieri, Individually and on behalf of their IRA/IRRA and Names of Respondents: Case Number: 03-02825 Merrill Lynch, Pierce, Fenner & Smith Inc., and Hearing Site: Houston, Texas Kevin Kugley NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Gene Palmieri and Judy Palmieri, ("Claimants") were repre

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn J. Gottier and James F. Cottier, Marilyn J. Gottier IRA, and James F. Gottier IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Michael Miros (Respondents) Case Number: 03-02824 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marilyn J. Gottier and James F. Gottier