AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fidelity Brokerage Services, LLC v. 04-07235 Houston, Texas Name of Respondent Lin A. Johnson NATURE OF THE DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Fidelity Brokerage Services, LLC ("Claimant") was represented by Jennifer A. Kenedy, Esq., of Lord Bissell Brook LLP, Chicago, Illinois. Lin A. Johnson ("Respondent" or "

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07227 S. Sy Sherr Names of the Respondents Hearing Site: Tampa, Florida UBS Financial Services, Inc. James Driggers Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For S. Sy Sherr, hereinafter referred to as "Claimant": Stephen Henry Kurvin, Esq., Sarasota, Florida. For UBS Financ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name of the Claimant Case Number: 04-07224 Peter F. Sansevero, Jr. Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Peter F. Sansevero, Jr., hereinafter referred to as "Claimant": James A. Bledsoe, Jr., Esq. and Tracey Leigh Henderson, Esq., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07222 Joseph Cole and Laura Cole, Claimants v. Primerica Financial Services d/b/a PFS Investments, Inc., Respondent ATTORNEYS: For Claimants Joseph Cole and Laura Cole (collectively "Claimants") appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent Primerica Financial Services d/b/a PFS Investments, Inc. ("Respondent") appeared Marion H. Little,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Candido Rodriguez (Claimant) v. Native American Securities Company, Inc., American International Securities, Inc., and David Wayne Parsons (Respondents) Case Number: 04-07220 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Candido Rodriguez ("Rodriguez") hereinafter referred to as "Claimant": Robe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) v. Stefan Kaplan (Respondent) Case Number: 04-07218 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Stefan Kaplan hereinafter referred to as "Respon

STIPULATED AWARD NASD Dispute Resolution In The Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. and Case Number: 04-07214 Hearing Site: Houston, Texas Name of Respondent Peter D.Foley NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq. and Thomas A. Volz, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07209 Morgan Stanley DW, Inc., Claimant v. Charles M. Porter, Respondent ATTORNEYS: For Claimant Morgan Stanley DW, Inc. ("Claimant") appeared Matthew J. Morelli, Esq., of the firm Ulmer & Berne, LLP, Cleveland, OH, Previously represented by: Diane C. Fischer, Esq., of the firm Kane & Fischer, LTD., Chicago, IL. Respondent Charles M. Porter ("Respondent") did not file a Statement of Answer i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David R. Schrader and Carol L. Schrader, (Claimants) vs. Wheat, First Securities, Inc. and James L. Fulton, (Respondents) Case Number: 01-00312 Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimants, David R. Schrader ("D. Schrader") and Carol L. Schrader ("C. Schrader"), hereinafter collectively referred to as "Claimants": Joseph E* Altomare, Esq., a sole

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. Stephen Seibt, MD, (Claimant) v. Merrill Lynch Pierce Fenner & Smith, Inc. and Howard M. Lippman (Respondents) Case Number: 04-07196 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant R. Stephen Seibt, MD ("Seibt") hereinafter referred to as "Claimant": J. Anklowitz, Esq., Law Office