Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Spinelli (Claimant) vs. David Lerner Associates (Respondent) Case Number: 05-00359 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Carol Spinelli ("Spinelli") hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondent David Lerner Associates ("David Lerner") hereinaf

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Arthur A. Johnson, Individually and as Trustee of the Johnson Funeral Home Inc., Profit Sharing Plans and as Co-Trustee of the Arthur Johnson Trust and Kathleen T. Johnson Trust; Kathleen T. Johnson, Individually and as Co-Trustee of the Arthur Johnson Trust and Kathleen T. Johnson Trust; Todd Johnson, Individually and as Custodian of the Kendra T. Johnso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lowell F. and Sheila G. Gill, Claimants v. Indianapolis Securities, Inc., Mikhail S. Shklovsky, Roger Mezhibovsky, J.P. Turner & Company, L.L.C., and Yosif Hananiya, Respondents Case Number: 05-00355 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: Gary G. Sackett, Esq. Jones Waldo Holb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret W. McDonald (Claimant) vs. Legg Mason Wood Walker, Inc. and John H. Kopeck, III (Respondents) Case Number: 05-00337 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Margaret W. McDonald hereinafter referred to as "Claimant" appeared pro se. Respondents Legg Mason Wood Walker, Inc. ("Legg M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ted Kolwicz, Jr. Case No. 01-00439 Name of Respondent Ameritrade, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Ted Kolwicz, Jr. hereinafter referred to as "Claimant": Steven J. Gard, Esq. of Page Gard Smiley & Bishop LLP, Atlanta, Georgia. For Ameritrade, Inc., ("Ameritrade") hereinafter referred to as "Respondent": James J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard C. Flegenheimer (Claimant) vs. Prudential Equity Group f/k/a Prudential Securities, Inc. (Respondent) CaseNumber:05-00336 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard C. Flegenheimer ("Flegenheimer") hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Offices of W. Alexander Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mavis L. Walters, Claimant, v. Edward D. Jones & Co. L.P. d/b/a Edward Jones and Ronald R. Covington, Respondents. Case Number: 05-00334 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mavis L, Walters ("Walters"), hereinafter referred to as "Claimant": David E. Bailey, Esq. of Eil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00322 Thomas and Phyllis Cote Names of the Respondents Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. Charles Pascarella, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas and Phyllis Cote, hereinafter referred to as "Claimants": Lonnie K. Martens, Esq., The Martens

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00318 Thomas Devere Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute; Associated Person vs. Member. REPRESENTATION OF PARTIES For Thomas Devere, hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Ocean Ridge, Florida. For Sterling Financial Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janice Davis #k/a Janice Needles, Claimant v. Morgan Stanley DW, Inc. and Mark B. Schumaker, Respondents Case Number: 05-00308 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Barry Kirschner, Esq. Waterfall, Economidis, CaldwelL, Hanshaw, & Villamana, P.C. Tucson, Arizona For Respo