Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Doris D. Gordon Name nf the Pesprmdents Morgan Stanley DW Inc. and Morgan Stanley Dean, Witter & Co. Case Nijmher! 02-07043 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTTRR Claimant Doris D. Gordon, hereinafter referred to as "Claimant", was represented by Neil A. Riemann,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; s of thp Claimants Lawrence and Ruth G. Martinez Names of the UBS Financial Services, Inc. Michael Gomberg Pase Number 02-07042 Hearing Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. UP.PRKSF.NTATTON OF PARTTRS Claimants, Lawrence and Ruth G. Martinez, hereinafter collectively referred to as "Claimants",

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riarmant Marc Chimes Case Number- 02-07041 Name of the "Respondent Morgan Stanley DW, Inc. Hearing Site: Washington, B.C. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Marc Chimes, hereinafter referred to as "Claimant", was represented by Tas S.G. Coroneos, Esq. and Herbert Rubenstein, Esq., Coroneos & Rubenstein, P.C., Ro

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William W. Khoenle E. Marlene Khoenle Names of the Respondents Signator Investors, Inc. Dean Nowak Customer v. Member and Associated Person Case Number: 02-07037 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For William W. Khoenle and E. Marlene Khoenle, hereinafter collectively referred to as "Claimants": Neal J.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-07036 Leonard and Sharon Golod I • ' Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Sharon Rickett , Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leonard and Sharon Golod, hereinafter collectively referred to as "Claimants": John T. Getz, Esq.,

12/07/2005 10:38 FAX NASD 002/005 STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William B. Waring and Respondents BBC Dain Rauscher Inc., and Eart D, Wierenga, Jr. Case Number: 02-07034 Hearing Site; Detroit, Michigan NATURE OF CASE i Customer v. Member and Associated Person i REPRESENTATION OF PARTIES William B. Waring {"Claimant") appeared in pro per, RBC Dain

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean-Claude Kaufmann, Christine C. Kaufinann, Christine C. Kaufinann ACF Nicholas Kaufmann, Christine C. Kauirnann ACF Sarah Kaufmann, and Marguerite Kaufmann (Claimants) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. and Jerrold P. Tepper (Respondents) Case Number: 02-07030 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne I. Kappel and Jeanne I. Kappel IRA (Claimant) v. Commonwealth Financial Network and John DelVecchio (Respondents) Case Number: 02-07029 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jeanne I. Kappel ("Kappel") and Jeanne I. Kappel IRA ("Kappel IRA") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francis J. Palmer! (Claimant) v. Alfred F. Palladino, Joseph V. Battipaglia, Ralph H. Bradley, Lee Fensterstock, Henry D. Gottmann, Rosemary Johnson, Joanne T. Marren, John R. Pellegrino, Robert P. Rittereiser, Hal Pomeranz, Joseph A. Muro, Ryan Beck & Co., Inc., Gruntal & Co., LLC, and Morgan Stanley DW, Inc. (Respondents) Case Number: 02-07028 Hearing Site: New York, New York Natu

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04170 Dave Scott, Claimant vs. H & R Block Financial Advisors and W. Eliott Grigg, Respondents. ATTORNEYS: Claimant appeared Pro Se, Bartlett, IL. For Respondents appeared in-house counsel, Laura M. Nelson, Esq., Detroit, MI. DATE FILED: September 22, 2000 ARBITRATOR'S REPORT: Weight of the evidence is that on or about August 2, 2000, no trade order to purchase Inverness Medical Te