Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the ClaimRnt Birgitta I. Reese Names of the Respondents PNC Investments William E. Walenda David Deblasio Case Number 04-00783 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. OF PARTIES Claimant, Birgitta I. Reese ("Reese"), hereinafter referred to as "Claimant", was represented by Douglas R.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00781 Betty J. Colston Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Clarence William Snyder III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Betty J. Colston, hereinafter referred to as "Claimant": James H. Burgess, Jr., Esq. and Douglas J. Harrell, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Case Number: 04-00778 Hearing Site: Houston, Texas Names of Respondents Darren A. Driggers and Joseph B. Downey NATURE OF DISPUTE Member Firm v. Associated Persons REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, Tennessee. Darren A. Drigge

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher, Inc. Case Number: 04-00776 v. Hearing Site: Houston, Texas Name of Respondent David R. Schnitzer NATURE OF CASE Member Firm v. Associated Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Jonathan M. Harris, Esq., Sandra S. Smalley, Esq., and Christopher A. Grgurich, Esq., Lindq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Robert Grenier and Estate of Sandra Grenier, Claimants v. Bane of America Investment Services, Inc. and Shawn J. Tierney, Respondents Case Dumber: 04-00775 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES "•• i For Claimants Michael R. Scott, Esq. , Estate of Robert Grenier and H

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00771 Arlene P. and David Jimenez JNT, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Arlene P. and David Jimenez JNT, ("Claimants"), appeared Jeffrey B. Kaplan, of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq., of the firm Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frieda Kestin Trust dated 8/14/89, Samuel Kestin.and Marilyn Kestin, as Trustees (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Doppelt (Respondents) Case Number: 04-00767 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION Claimant Frieda Kestin Trust dated 8/14/89, Samuel Kestin and Mar

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00766 Brendon Wachter, Claimant v. E*Trade Securities, LLC, Respondent. ATTORNEYS: Claimant, Brendon Wachter, ("Claimant"), appeared pro se, Chicago, IL. Respondent, E*Trade Securities, LLC, ("Respondent"), appeared through its in-house counsel, John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 4, 2004 CASE SUMMARY: Claimant alleged tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry C. Deforest, Claimant v. Standard Investment Chartered, Inc. and John H. Norberg, Respondents Case Number: 04-00756 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: In Propria Persona Redwood City, California For Respondents: George Hill, President Jo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sidney Itkin, (Claimant) vs. Kirlin Securities, Inc. and George R. Gonzalez, (Respondents) Case Number: 00-05612 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sidney Itkin, hereinafter referred to as "Claimant": James Wasserman, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondents, Kirlin Securities, Inc. ("Kirlin") and G