Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Artiglere, Christine Artiglere., Peter Caporaso, June Caporaso., Gennaro Frasso, Antoinette Frasso, Guissepe Perrotta, Maria Perrotta, Mary Spagnuolo, Gerardo Frasso, Angelina Frasso, Antonio Frasso, Patrick Reynolds and Maria Reynolds, Doris Kloss, Robert Chandler, Barbara Chandler, Paul Gomes, Mary Gomes, Audrey Esposito, Louann Esposito, and Vreni Odell (Claimants) v. Louis Rom

Stipulated Award NASD Dispute Resolution, Inc. _________________ ___ _,_ _.,_________¥ In the Matter of the Arbitration Between SUSAN M.SACHS, Claimant, NASD Case No. 00-00571 -and- MORGAN STANLEY DEAN WITTER and RICHARD SPENCE, Respondents. REPRESENTATION OF PARTIES Claimant Susan M. Sachs, hereinafter referred to as "Claimant": Susan M. Sachs, Oklahoma City, Oklahoma Respondents Morgan Stanley DW Inc., f/k/a Morgan Stanley Dean Wit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., Claimant v. Randall Jay Clark, Respondent Randall Jay Clark, Counter-Claimant v. Citigroup Global Markets, Inc., Counter-Respondent Case Number: 04-02349 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Citigroup Global M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Richard C. Adair, Jr., Respondent Case Number: 04-02347 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah H. Gottlieb, Esq. Davidson & Grannum, LLP Northvale, New Jersey For Respondent: Richard C. Adair, Jr. Pro Se Las Vegas, Nevada CASE INFOR

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02346 Eric M. Behr Names of the Respondents Hearing Site: Boca Raton, FL David Robinson Maria Robinson Midrange Accounting, Inc. Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Eric M. Behr ("Behr"), hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintrau

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02345 Donald R. Boyer and Mary C. Boyer Name of the Respondent Hearing Site: Atlanta, Georgia Dunwoody Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald R. Boyer and Mary C. Boyer, hereinafter collectively referred to as "Claimants": Bruce W. Barnes, Esq., Bruce W. Barnes, P.A., Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-02338 William J. Burns, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant William J. Burns ("Claimant") appeared Kathleen P. Toolan, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P. A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Luther M. Dorr, Jr., Esq., of the firm M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Silveo A. lorio (Claimant) vs. Fisher Investments, Inc., Chris Rushton, Charles Schwab & Co., Inc. and Casey D. Ryan (Respondents) Case Number: 04-02335 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Non-Member, Member and Associated Persons REPRESENTATION OF PARTIES Claimant Silveo A. lorio hereinafter referred to as "Claimant": James L. Sonneborn, Esq., Son

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Austin Moore (Respondent) Case Number: 04-02331 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc. hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, TN. Respondent Austin Moore hereinafter refer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elaine B. Owen Revocable Trust, Claimant v. Morgan Stanley DW Inc., Allstate Assurance Company, Michael R. Walters, and Kimberly A. Blindheim, Respondents Case Number: 04-02322 Hearing Site: Reno, Nevada Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert L. Crowell, Esq. Crowell, Susich, Owen & Tackets, Ltd. C