Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Earthy Murphy Serleen Murphy Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Brad Dunagen Biggs Case Number: 03-02105 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Earthy Murphy and Serleen Murphy, hereinafter collectively refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimfmt Case Number: 03-02104 Gail S. Cassily Name of the Respondents Hearing Site' St. Louis, Missouri A.G. Edwards & Sons, Inc. and Edward J. Costigan, Jr. NTATTTRF OTT HTSPTTTF •aa«*»aca===JEa^=ggg''^ — ^i^B^aa Customer vs. Member Firm and Associated Person P~F.PPF.gF.NT A TTfIN Lawrence Goldberg and J. Christopher Wehrle, Esq. of the law firm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephthal & Co., Inc., Case Number: 03-02103 Claimant, vs. Dana L. Oliver, Hearing Site: Houston, Texas Respondent. Nature of Case: Member vs. Associated Person !F.PRFq.KTATTflK OF Claimant Josephthal & Co., Inc., hereinafter referred to as "Claimant," was represented by Eric J. Shames, Esq. and Evelyn Bukchin, Esq. of Josephthal & Co., Inc: located in New; York, Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-02100 Roger and Mary Candace Brush, Floyd and Sabra Adams, Robert and Sandra Bryans, Lance and Sharon Holmer, Ray Ridgley, Harold and Carolyn Sloan, and Clifford Schiller and Peggy Schiller, Michael And Rena Gower, John Paul and Shirley Jones, Kenneth and Deborah Valle, and Charles and Judy Schiller Name nf the Respondent Hearing

NASD DISPUTE iRESOLUTION AWARD NASD DISPUTE [RESOLUTION, INC. CASE; 00-03583 Michael Cassidy, Claimant vs. Fidelity Investments, Respondent. ATTORNEYS: Claimant, Michael Cassidy ("Claimant"), appeared Pro Se, Hyde Park, MA. Respondent, Fidelity Investments ("Respondent"), appeared through its in-house counsel, Richelle S. Kennedy, Esq., Boston, MA. DATE FILED: August 14, 2000 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Bruning Family Trust and Gloria Bruning, Claimants v. QA3 Financial Corp., William A. Morrow, Steve Schroeder, and Financial Designs, LTD., Respondents Case Number: 03-02093 Hearing Site: San Diego, California Nature of the Disputes: Customers vs. Member, Associated Person, and Non-Members REPRESENTATION OF PARTIES For Claimants: For Respondent QA3 Financial

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Spruitenburg, Patricia Spruitenburg, and William J. Spruitenburg UGMA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Culver E. Stone, John K. Wilson, Detroy L. Womack, Respondents Case Number: 03-02092 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. and Morgan Stanley Funding Services Corporation, Claimants v. Paul V. Anderson, Edwin W. Trively, III, and Carolyn E. Murray, Respondents Paul V. Anderson, Edwin W. Trively, III, and Carolyn E. Murray, Counter-Claimants v. Morgan Stanley DW Inc. and Morgan Stanley Funding Services Corporation, Counter-Respondents Case Number: 03-02090 Hearing Site: Seattle, Washin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hong Cho Yew, Claimant v. Ameritrade, Inc. n/k/a J.P. Securities Inc., Respondent Case Number: 03-02085 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Hong Cho Yew ProSe Carson, California For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. n/k/a J.P. Securities Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gwen Y. Garden Name of the Respondent Securities Research, Inc. Case Number: 03-02081 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gwen Y. Garden, hereinafter referred to as "Claimant": Richard H. Levenstein, Esq., Kramer, Sewell, Sopko & Levenstein, P.A., Stuart, Florida. For Sec