Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence Mason, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 00-01107 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Lawrence Mason ("Mason"), hereinafter referred to as "Claimant": Robert G. Heim, Meyers & Heim LLP, New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), hereinaf

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeremy S. Eaton vs. Case Number: 05-05009 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Timothy J. Cunningham, and Jeffrey A. Zimmer NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Jeremy S. Eaton ("Claimant") was represented by John J. Muld

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Willis Preece and Nina Preece vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 05-04744 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Willis Preece and Nina Preece ("Claimants") were represented by Charles C. Hunter, Esq., Woska & Hayes, LLP, Houston, T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory Williams, (Claimant) vs. Deutsche Bank Securities, Inc., (Respondent) Case Number: 99-05097 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregory Williams, hereinafter referred to as "Claimant": James D. Esseks, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondent, Deutsche Bank Securities, Inc., hereinafter referred to as "R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03895 Dorothea Rosasco and Louis Rosasco, claimants vs. Prudential Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, New York, NY. For Respondent Prudential Securities, Inc., appeared in-house counsel, Mary LaManna Ulrich, Esq., New York, NY. DATE FILED: August 6, 1997 CASE SUMMARY: Claimants alleged that respondent overcharged them with

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edwin J., and Marilyn A. Reichman (Claimants) v. Brookstreet Securities Corporation, Sean Mescall and Brian Keith Martinsen (Respondents) Case Number: 06-03088 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Edwin J. and Marilyn A. Reichman hereinafter referred to as "Claimants" appeared pro s

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: HD Brous & Co., Inc. (Claimant) vs. Alfred Blair Blaikie, III (Respondent) Case Number: 05-05624 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant HD Brous & Co., Inc. hereinafter referred to as "Claimant": Robert A. Giacovas, Esq. and Spencer Mazyck, Esq., Lazare Potter Giacovas & Kranjac LLP, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Zipfel and Neil Zipfel (Claimants) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-02520 Hearing Site: Columbus, Ohio Mark Zipfel (Claimant) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-04932 Hearing Site: Columbus, Ohio Fifth Third Securities, Inc. (Claimant) vs. Mark Zipfel (Respondent) Case Number: 05-04948 Hearing Site: Columbus, Ohio Natu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kathleen Cahill vs. Case Number: 05-06254 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kathleen Cahill ("Claimant") was represented by Sean M. Keane, Esq., Simmons Cooper, LLC, East Alton, Illinois. Morgan Stanley DW, Inc. ("Respondent" or "Morga

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Cathryn M. Spurance Trust, Claimant v. A.G. Edwards & Sons., Inc., Tim Cronin and Mark Bernhard, Respondents Case Number: 99-03332 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri