Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine A. Triplett (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 06-00540 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Christine A. Triplett hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Kingwood, TX. Respondent Merrill Lynch, Pier

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION *» CASE: 06-00397 Adrian Havelka, (Claimant) vs. Robert Madden and Charles Schwab & Co., Inc., (Respondents) ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., of the firms Lincoln Square Legal Services, Inc. and Ford ham University School of Law, New York, NY. For Respondents appeared in-house counsel, Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Memb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wanda S. Keith, Claimant v. A.G. Edwards & Sons, Inc. and Dalan Madsen, Respondents Case Number: 01-02401 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Wanda S. Keith, hereinafter referred to as "Claimant": Thomas H. Buscaglia, Esq., T. H. Buscaglia and Associates, Miami, Florida For A.G. Edwards & Sons, Inc.("A.G. Edwards") and Dalan Madsen ("Madsen"), herei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00268 Wachovia Securities, LLC, (Claimant/Counterclaim Respondent) vs. Richard Ferazi, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared Renan I. Sugarman, Esq., of the firm Renan Sugarman, P.C., Chicago, IL. Respondent/Counterclaim Claimant appeared pro se, Lake Worth, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 19

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Mary Beth Chavez, and Linda Paul v. Wayne and Mary Judy Case Number: 06-00165 Hearing Site: New York Nature of the Dispute: Member and Associated Persons vs. Customers. REPRESENTATION OF PARTIES Claimants Merrill Lynch Pierce Fenner & Smith ("Merrill Lynch"), Mary Beth Chavez ("Chavez"), and Linda Paul ("Paul"), hereinafter collect

Award NASD Dispute Resolution n In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00003 Gerald T. Wyatt Names of the Respondents Hearing Site: Charleston, West Virginia Merrill Lynch, Pierce, Fenner & Smith, Inc. Citigroup Global Markets, Inc. Chandis Ferguson, II Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant, Gerald T. Wyatt, hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06434 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Larry S. Rule, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks. Esq., Vice President and Associate Attorney, Morgan Kee

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Elaine A. Medley, Dina A. Medley, Donna Ullrich, and Debra A. Medley vs. Case Number: 05-05615 Hearing Site: Houston, Texas Names of Respondents UBS Financial Services, Inc. and Elizabeth Anne Rinehimer NATURE OF THE DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES Elaine A. Medley was represented by Randall

Award NASD Dispute Resolution »' In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05346 Cheryl Frank Names of the Respondents Hearing Site: Philadelphia, Pennsylvania Wachovia Securities, LLC Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant, Cheryl Frank, hereinafter referred to as "Claimant", was represented by John J. McGovem, Jr., Esq., Attorney at L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Vernon J. Reichmuth vs. Names of Respondents Primevest Financial Services, Inc., Guaranty Brokerage Services, Inc., f/k/a BISYS Brokerage Services, Inc., f/k/a Corelink Financial, Inc., Louis W. Pofahl, Investment One, Inc., First National Bank of Omaha, and First National Bank of Norfolk Case Number: 05-05158 Hearing Location: Omaha,