Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter H. Pollak and Ellen A. Pollak, individually and as Trustees of The Pollak Trust dated March 8,1990, Claimants v. Morgan Stanley DW Inc. and Vincent August Caprio, Respondents Case Number: 05-01152 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Michael D. Liberty, Esq. Law Off

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Yvan Bourque and Cheri Bourque (Claimants) vs. Citigroup Global Markets f/k/a Salomon Smith Barney (Respondent) Case Number: 05-01147 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Yvan Bourque ("Y. Bourque") and Cheri Bourque ("C. Bourque") hereinafter referred to as "Claimants": Vincent J. Imbesi, Esq., Avelino an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam Vertes (Claimant) vs. Raymond James & Associates, Inc. (Respondent) Case Number: 05-01143 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person vs. Member f REPRESENTATION OF PARTIES Claimant Adam Vertes hereinafter referred to as "Claimant": James A. DeRoche, Esq., Garson & Associates Co., L.P.A., Cleveland, OH. Respondent Raymond James & Associates, I

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-01142 Aaron W. Steffens and Jennifer Steffens, (Claimants) vs. First Command Financial Planning, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Montgomery, AL. For Respondent appeared Ethan H. Cohen, Esq., Atlanta, GA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 23, 2005 CASE SUMMARY: Claimants alleged that due to Respondent's misleading sales sc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01142 Aaron W. Steffens and Jennifer Steffens, (Claimants) vs. First Command Financial Planning, Inc., (Respondent) ATTORNEYS: " — Claimant appeared pro se, Montgomery, AL. For Respondent appeared Ethan H. Cohen, Esq., Atlanta, GA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 23, 2005 CASE SUMMARY: Claimants alleged that due to Respondent's misleading sales scripts

AWARD NASD Dispute Resolution the Matter of the Arbitration Between laimant/Counter-Respondent •ppenheimer & Co., Inc. and Case Number. 05-01137 Hearing Site: Troy, Michigan espondent/Counter-Claimant lark Casebolt NATURE OF DISPUTE lemberv. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES )ppenheimer & Co., Inc. ("Claimant" or "Oppenheimer") was represented by Gary K. August, Esq., Zausmer, Kaufman August

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01128 Dolores Caplan, (Claimant) vs. Marcus Rodney Valenzuela and Franklin Ross Michelin, (Respondents) ATTORNEYS: Claimant appeared pro se, Old Westbury, Ny Respondent Marcus Rodney Valenzuela did not submit an Answer to the Statement of Claim. Respondent Franklin Ross Michelin did not submit an Answer to the Statement of Claim. Respondents Marcus Rodney Valenzuela and Franklin Ross Mic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald Dickison (Claimant) v. J.P. Turner & Company, LLC, Institutional Equity Corporation, Kenneth Vesely, Laura Higgins, and Robert Phillips (Respondents) Case Number: 01-00489 Hearing Site: New York, New York Nature of the DiSpute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Donald Dickison, hereinafter referred to as "Claimant": Alan R. Spirer,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01124 Wesley Wieghmink Name of the Respondent Hearing Site: Little Rock, AR Edward D. Jones & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wesley Wieghmink, hereinafter referred to as "Claimant'*: C. David Mee, Esq., Woska & Hayes, L.L.P., Kingwood, TX. For Edward D. Jones & Co. ("Jones"), hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Wing Ong, Claimant v. Equitrust Marketing Services, LLC, Respondent Case Number: 05-01110 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael Salcido, Esq. Renaud Cook Drury Mesaros, PA Phoenix, Arizona For Respondent: James V. Garvey, Esq. Vedder, Price, Kaufman & Kammholz, P.C C