*' *-. AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert J. Harper and Clara Mae Harper v. 04-07195 Denver, Colorado Respondents D.A. Davidson & Company, Inc., David Glen Jones, Nancy Jean Naus Lori Jo Hubbard and Scott Alan Barstad Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Robert J. Harper and Clara Mae Harper ("Claimants") were represented b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tb^ Claimant rpgpTsJiimher- 04-07192 Morgan Stanley DW Inc. H p flrJTig Sit?' Wichita, Kansas William Herndon OF TTTF Member Firm v. Associated Person Claimant Morgan Stanley DW Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., of Kane & Fischer, Ltd., located in Chicago, Illinois. Respondent William Herndon, hereinafter referred to as

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rose A. Davis and 04-07190 Nashville, Tennessee Name of Respondents Amerprise Financial Services f/k/a American Express Financial Advisors, Inc. IDS Life Insurance Company Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Rose A. Davis ("Claimant") was represented by H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, Ten

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Kenneth W.Kline Barbara Kline r- 04-07185 Names of the Respondents Ferris Baker Watts, Incorporated Gail H. Winslow g Site- Washington, DC Nature of the Dispute: Customers vs. Member and Associated Person. RFPRF.SFNTATTON OF PARTTFS Claimants, Kenneth W. Kline and Barbara Kline, hereinafter collectively referred to as "Claimants", were

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07182 Thomas Garrity, Claimant v. Linsco Private Ledger Corp. and Wayne Hoffman, Respondents ATTORNEYS: For Claimant Thomas Garrity ("Claimant") appeared Brian A. Carlis, Esq., of the firm Stark & Stark, P.C., Lawrenceville, NJ. For Respondent Linsco Private Ledger Corp. appeared David J. Freniere, Esq., in-house counsel, Linsco Private Ledger Corp., Boston, MA. Respondent Wayne Hoffman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07181 Morgan Stanley DW, Inc., Claimant v. Jeffery A. Cross, Respondent ATTORNEYS: For Claimant Morgan Stanley DW, Inc. ("Claimant") appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent Jeffery A. Cross ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: October 11, 2004. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy P. O'Grady (Claimant) v. J.T. Moran & Co., Inc. (Respondent) Case Number: 04-07180 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Timothy P. O'Grady hereinafter referred to as "Claimant": Joel S. Forman, Esq., Curtis, Mallet-Prevost, Colt & Mosle LLP, New York, NY. Respondent J.T. Moran & Co., Inc..

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Granite Associates, Inc. (Claimant) v. John Seungwoo Back (Respondent) Case Number: 04-07178 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Granite Associates, Inc. ("Granite") hereinafter referred to as "Claimant": Michael P. Gilmore, Esq., Sims Moss Kline & Davis, LLP, Mineola, NY. Respondent John Seungw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^ of the Claimant Henrietta Hannahan r.nse Number 04-07175 Narnre; nf the Alzaid Financial Services, Inc. Raul S. Aguilar Hearing Site: Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTES Claimant, Henrietta Hannahan ("Claimant"), was represented by Thomas S. Anderson, Esq., Yukevich, Marchetti, Lie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASK: 01-00309 The Estate of Elizabeth B. Robinson, Claimant vs. Sun America Securities, Wells Fargo Securities, Inc. and Thomas B. Gau Respondents. ATTORNEYS: For Claimant: Brett J. Saddler, San Diego, CA For Respondents Sun America Securities, Inc. and Thomas B. Gau appeared Janet Weinstein Lord, Esq., Phoenix, AZ. For Respondent Wells Fargo Securities, Inc. appeared Gideon E. Mark, Esq.,