Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf flip riaimq^tg Pflgfi ^]rnhf>r- 03-01582 GaryR. Baily and Tricia R. Baily Hearing Site- Dallas, Texas The Advisors Group, Inc. and Mickey R. Cargile O F TUSPTTTF. Public Customers v. Member Firm and Associated Person O? PAHTIF.S Claimants Gary R. Baily and Tricia R. Baily, hereinafter collectively referred to as "Claimants": John E. Dees, Esq., located in Dall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Irene Fuenzalida, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 03-01580 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Keith D. Fraser, Esq. Law Offices of Aidikoff & Uhl Beverly Hills, California For Respondent: Peter B. Dolan., Esq. The Dolan L

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Patrick J. Moore, Claimant vs. McDonald Investments, Inc. and Randal J. Wilhelmsen., Respondents Case Number: 03-01572 Hearing Site: Portland, Oregon Nature of Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Roger Hennagin, Esq. Roger Hennagin, P.C. Lake Oswego, Oregon For Respondent McDonald Investments, Inc.: Thomas V.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) v. Ken Dennis Williams (Respondent) Case Number: 03-01570 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC ("Fidelity") hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quincy, MA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01569 R.T. Barnes, Linda Stebbins, et al, Claimants vs. Tom Kukulski, Mark Dennis and Roberta Devorsky, Respondents. ATTORNEYS: Claimants, R.T.Barnes, Linda Stebbins, et al, (collectively "Claimants") appeared pro se through R.T. Barnes, Naperville, IL. For Respondents, Tom Kukulski, Mark Dennis, and Roberta Devorsky, (collectively "Respondents") appeared Morgan Stanley DW, Inc.'s in-hou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Balestri and Lori Balestri, (Claimants) vs. Cuna Brokerage Services, Inc. and Frank Ammirato, (Respondents) Case Number: 00-04474 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Balestri ("R. Balestri") and Lori Balestri ("L. Balestri"), hereinafter collectively referred to as "Claimants": John J. Blanchard, Esq., a sole practitioner, Montva

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01564 Joe Gratzle, Claimant vs. Thomas Joseph Heaphy Jr. and GIT Securities Corporation, Respondents. ATTORNEYS: Claimant, Joe Gratzle, ("Claimant") appeared pro se., Phoenix, AZ. Respondents, Thomas Joseph Heaphy Jr. and GIT Securities Corporation, (collectively "Respondents") did not submit an answer to the statement of claim. DATE FILED: March 4, 2003 CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: P. Schoenfeld Asset Management, LLC (Claimant) v. Maxcor Financial, Inc. and CRT Capital Group, LLC (Respondents) Case Number: 03-01562 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant P. Schoenfeld Asset Management, LLC ("PSAM") hereinafter referred to as "Claimant": David S. Smith, Esq., Smith Campbell, LLP, New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Maurizio and Salvatore Borruso, Sr. (Claimants) v. Richard Bach (Respondent) Case Number: 03-01561 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Michael Maurizio ("Maurizio") and Salvatore Borruso, Sr. ("Borruso") hereinafter collectively referred to as "Claimants": Stuart E. Finer, Esq., Utica. NY.

r NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01560 Derrick Henderson, Claimant vs. Associated Securities Corporation, Respondent. ATTORNEYS: For Claimant appeared Emerson R. Marks, Jr. Esq., of the Law Office of Emerson R. Marks, Jr., Charlottesville, VA. For Respondent appeared Scott J. Ivy, Esq., of the Law Offices of Musick, Peeler, & Garrett LLP, Los Angeles, CA. DATE FILED: March 4, 2003 CASE SUMMARY: Claimant allege