Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory L. Duffy (Claimant) vs. Sungard Institutional Brokerage Inc. (Respondent) Case Number: 05-02881 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Gregory L. Duffy hereinafter referred to as "Claimant" appeared pro-se. Respondent Sungard Institutional Brokerage Inc. hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00565 Charles Schwab & Co., Inc., claimant vs. Evans P. Weaver, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, in-house counsel, San Francisco, CA. Respondent failed to submit a response to the Statement of Claim. DATE FILED: February 2, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his margin account. Claim Data Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sonja Mueller-Spiegel and Theodore Spiegel (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-02880 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. f REPRESENTATION OF PARTIES Claimants Sonja Mueller-Spiegel ("Mueller-Spiegel") and Theodore Spiegel ("Spiegel") hereinafter referred to as "Claimants": William

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02879 Trident Partners, LTD, (Claimant) vs. Gerardo Maroto, (Respondent) ATTORNEYS: For Claimant appeared Eugene L. Small, Esq., of the firm Alonso, Andalker & Kahn, P.C., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 31, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contrac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02856 Jerry Luther Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jerry Luther, hereinafter referred to as "Claimant": Milton H. Fried, Esq., Woska & Hayes, LLP, Kingwood, Texas. For Morgan Stanley DW Inc. ("MSDW") hereinafter re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Keith Peterson, individually, and as Trustee of the Keith Peterson Trust, Rose Peterson, individually, and Carol Whetshine as Trustee of the Rose Peterson Trust and Case Number: 05-02845 Hearing Site: Omaha, Nebraska Names of Respondents Raymond James Financial Services, Inc. and William Henry Jordan, III NATURE OF DISPUTE Customers v. Membe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Gerald Krause v. 05-02844 Minneapolis, Minnesota Respondents Feltl and Company, Inc. and John Feltl NATURE QY DISPUTE Associated Person v. Member and Associated Person OF PARTIES Gerald Krause ("Claimant") was represented by Robert C. Moilanen, Esq., of Zimmerman Reed, P.L.L.P., Minneapolis, Minnesota. Feltl and Company, Inc. ("Feltl and Company") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02836 The George C. Moench Charitable Remainder Trust Dr. George C. Moench, Trustee Names of the Respondents Hearing Site: Tampa, Florida Ameriprise Financial Services Ruth Gordon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The George C. Moench Charitable Remainder Trust, Dr. George

^NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02820 Andrea Kirshenbaum and Susan P. Kleinman, (Claimants) vs. PTI Securities & Futures, LP, (Respondent) ATTORNEYS: Claimants appeared pro se, Northbrook, IL and Evanston, IL. For Respondent appeared in-house counsel, Lawrence H. Kelch, Chicago, IL. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 26, 2005 CASE SUMMARY: Claimants alleged that Respondent executed an order th

CASE: 05-02797 John and Joan Tomaszewski, (Claimants) vs. Dougherty & Company LLC, (Respondent) ATTORNEYS: Claimants appeared pro se, Nutley, NJ. For Respondent appeared in-house counsel Thomas J. Abood, Esq., Minneapolis, MN. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 24, 2005 CASE SUMMARY: Claimants alleged that Respondent failed to disclose the terms of redemption on the purchase of a Pennsylvania Housing Finance Agency Bond. Claimants