Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Capital Securities of America, Inc., Claimant Vs. Thomas L. Dooley, Respondent. Case Number: 01-00165 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Capital Securities of America, Inc. ("Claimant"), was represented by Anne W. Larkin, Esquire, and Dennis Concilia, Esquire, of Carlile, Patchen & Murphy, LLP, Columbus, Ohio. , Respondent/C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael Kostoff Names of the Respondents Vincent Cervone Yankee Financial, Inc. Fleet Securities, Inc. Case Number: 04-04259 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael Kostoff, hereinafter referred to as "Claimant": Theodore M. Davis, Esq., Brooklyn,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Thomas G, Hackett, Individually and as Trustee for the Devananda Tandavan Trust (dated 11/16/94) and Case Number: 04-04247 Hearing Site: Chicago, Illinois Names of Respondents PEB Financial Group, Inc. and Thomas C. Reynolds NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas G. Hackett, Indi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Margaret Jan Kemp IRA Rollover and Margaret Jan Kemp as Trustee under the Margaret Jan Owens Kemp Trust and Names of Respondents Morgan Stanley DW, Inc., and Ronnie Lee Houston Case Number: 04-04246 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Margaret Jan Kem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Michael L. Rasche Jacqueline B. Rasche Names nf the Respondents H.D. Investment Securities, Inc. Richard E.Whitley Case Number- 04-04245 Hearing Site- Raleigh, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRKSTT.NTATTON OF PARTIES Claimants, Michael L. Rasche and Jacqueline B. Rasche, hereinafter coll

Award NASD Dispute Resolution In the Matter of the Arbitration Between: i Name cvfthe Claimant Bernard Baker, Jr. Names nf the Respondents Financial Investment Analysts, Inc. Scott E. Shoup Theodore F, Staats Case Number 04-04239 Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. RRPKF.SF.NTATTON OF PARTTF.S Claimant, Bernard Baker, Jr., hereinafter referred to as "Claimant",

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-04235 Robert J. Urton, IRA, Claimant v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Respondent ATTORNEYS: For Claimant, Robert J. Urton, IRA, ("Claimant"), appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared through in-house counsel, A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan MacKay (Claimant) v. Wachovia Securities Financial Network, LLC (f/k/a Corporate Securities Group, Inc., First Union Securities Financial Network, Inc., JWGenesis Financial Services, Inc., Schor Securities Corporation, and Wachovia Securities Financial Network, Inc.) and Joseph Vieira (Respondents) Case Number: 04-04227 Hearing Site: New York, New York Nature of the

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Willa Poynter v. Respondents Morgan Keegan & Company, Inc., and John Sheldon Cotton and Counter-Claimant Morgan Keegan & Company, inc. v. Counter-Respondent Willa Poynter and Counter-Claimant John Sheldon Cotton v. Counter-Respondent Willa Poynter Case Number: 04-04216 Hearing Site: Louisville, Kentucky NATURE OF DI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas W. Hester, (Claimant) vs. McDonald Investments, Inc. and Keycorp Company, (Respondents) Case Number: 01-00163 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Douglas W. Hester, hereinafter referred to as "Claimant": Jeffrey M. Embleton, Esq., Mansour, Gavin, Gerlack & Manos Co., LPA, Cleveland, OH. Respondent McDonald Investments, Inc. ("McDonald"): Matt