Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tVip flairn ants Page Number- 04-02094 Karl M. and Janet Buretz ? r>f tlie T?ftgpnnHRntg Hearing Sitfv Dallas, Texas Morgan Stanley DW Inc. and James H. McNeill NATTTOF. OF TTTF T)TSPTTTF Customers vs. Member Firm and Associated Person RF.PttFSFNTATTON OF PAPTTFS Claimants Karl M. and Janet Buretz, hereinafter collectively referred to as "Claimants)": Alan D. Swee

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Inez L. Gantz v. 04-02092 Minneapolis, Minnesota Respondents Waddell & Reed, Inc. and Janet L. Utech Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Inez L. Gantz ("Claimant") was represented by Richard I. Diamond, Esq., Minnetonka, Minnesota. Waddell & Reed, Inc. ("Waddell") and Janet L. Utech ("Utech

STIPULATE,!) AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant ' : Bradley Bouck and Respondents OldeDiscount Corporation n/k/a H&R Block Financial Advisors, Inc., and James Thomas Falardeau . Case Number: 04-02087 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person . : REPRESENTATION OF F>ARTIES , " , Bradley Bouck (-'Claimant") was represented by Bradf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02079 Homer W. Keifer Names of the Respondents Hearing Site: Orlando, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jeffrey G. Hull Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Homer W. Keifer, hereinafter referred to as "Claimant": Owen P. McGill, Esq. and E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case-. Number 04-02078 Thomas H. Dinwiddie Martha A. Dinwiddie Names nf the Respondents Hearing She: Washington, D.C. Linsco/ Private Ledger Corp. John F. Reutemann, Jr. Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTFS Claimants, Thomas H. Dinwiddie and Martha A. Dinwiddie, hereinafter collectively referr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Curtis and Connie Greene and Case Number: 04-02067 Hearing Site: Oklahoma City, Oklahoma Names of Respondents FFP Securities, Inc., FFP Advisory Services, Inc., First Financial Planners, Inc., Nithman Financial Group, Inc., and Kathy Nithman NATURE OF DISPUTE Customers v. Member Firm, Non-Member Firms and Associated Person REP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Billy K. Lenser and Deborah Lenser, individually, and Billy K. Lenser as Trustee of the Kurt W. Lenser & Mildred E. Lenser Trust, Dena A. Lenser and Natalie A. Lenser, Claimants v. Mark F. Augusta, Respondent Case Number: 00-05765 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Howard M. Hoffman, Esq. Sacramento, California For Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert Cohen Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. David Diaz Kris Rosado Case Number: 04-02063 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Cohen, hereinafter referred to as "Claimant": Wayne H. Schwartz, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Waks (Claimant) vs. JP Morgan Securities, Inc., f/k/a JP Morgan Chase & Co., f/k/a Chase H & Q, A Division of Chase Securities, Inc. (Respondent) Case Number: 04-02062 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Richard E. Waks hereinafter referred to as "Claimant": Mitchell B. Ludwig, Esq., Knapp,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Jinsup Choi and Susie Chungja Choi, Claimants v. Morgan Stanley DW Inc. and Gene Sangjin Pak, Respondents Case Number: 04-02061 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Dennis R. Villavicencio, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondents: R