AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert Graves and Ellen R. Graves and Names of Respondents United Planners' Financial Services and Charlie W. Sheets Case Number: 02-06985 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert Graves and Ellen R. Graves ("Claimants") were represented by Joel H. Ka

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant A.G. Edwards & Sons, Inc. Name of the Respondent Bryan Tullock Case Number: 00-04164 learing'Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant/Counterrespondent A.G. Edwards & Sons, Inc. ("Claimant")- Matthew Salomon, Esquire, of A.G. Edwards & Sons, Inc., St. Louis, Missouri. Respondent/Counterclaimant Bryan Tullock ("Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Potocki and Names of Respondents UBS Financial Services, Inc., f/k/a UBS PaineWebber and Ann Maile Case Number: 02-06984 Hearing Site; Southfield, Michigan NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert Potocki ("Claimant") was represented by Joel H. Kaufman, Esq., Farmington Hills,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "NTamp nf \\if- P^im^ta Pa^p N\im h *T 02-06979 John and Betty Musal Name of frft p^ppn^Hftnt? fi^rjng ftjfp- Dallas, Texas Edward D. Jones & Co.; and Richard G. Stokes pT Public Customer v. Member Firm and Associated Person n PAPTTF.S Claimants John and Betty Musal, hereinafter collectively referred to as "Claimants)": Upendar Reddy, Esq., of the firm of San

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06978 Ian Rogers, claimant vs. Laurie Rechholtz, respondent. ATTORNEYS: For Claimant appeared Curt Roy Hineline, Esq., of the firm Dorsey & Whitney, LLP, Seattle, WA. Respondent appeared pro se, Seattle, WA. DATE FILED: November 19, 2002 CASE SUMMARY: Claimant requested expungement of a customer complaint from his CRD record. Claim Data Award Data Claim: Expungement Award: De

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06972 Ryan and Jamie McCabe, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared pro se, San Diego, CA, For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. DATE FILED: November 18, 2002 CASE SUMMARY: Claimants alleged that respondent failed to properly transfer shares of ATCO into the appropriate accounts. Claimants maintained tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Mortorano (Claimant) v. Ladenburg Capital Management (Respondent) Case Number: 02-06969 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Michael Mortorano ("Mortorano") hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Attorney at Law, Newark, NJ. Respondent Ladenburg Capital Management ("LCM") h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number Frank Stams 02-06965 Names of Respondents Hearing Site Morgan Stanley Dean Witter and Daniel Strebler Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Stams ("Stams"), hereinafter referred to as "Claimant," was represented by Robert Bertsch, Esq. of Bertsch & Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Raso (Claimant) v. Fidelity Brokerage Services, LLC (Respondent) Case Number: 02-06964 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael J. Raso ("Raso") hereinafter referred to as "Claimant": David Rapaport, Esq., Rapaport & Rapaport, Boston, MA. Respondent Fidelity Brokerage Services,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Track Data Securities Corp. (Claimant) v. Cantor Fitzgerald & Co. (Respondent) Case Number: 02-06963 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Track Data Securities Corp. ("Track Data") hereinafter referred to as "Claimant": Robert P. Bramnik, Esq. and James C. Yong, Esq., Duane Morris, LLC, Chicago, IL. Previou