Award NASD In the Matter of the Arbitration Between: Name of Claimant Denise Hopkins Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 01-01596 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Denise Hopkins, hereinafter referred to as "Claimant": Glen R. Galbraith, Esq., Seale Daigle & Ross, L.L.C., Hammond, LA. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter referred to as "Respondent": Mathew R. Salamon, Liti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sharon B. Ellis Names of the Respondents Morgan Keegan & Company, Inc. Tommy Ray Cockrell Case Number: 03-05575 Hearing Site: New Orleans, Louisiana Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sharon B. Ellis, hereinafter referred'to as "Claimant": Robert S. Moraff, Esq., Law Offices of Robe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Tissue (Claimant) v. S.G. Cowen Securities Corp. and Lehman Brothers, Inc. (Respondents) Case Number: 03-05569 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant David A. Tissue ("Tissue") hereinafter referred to as "Claimant": Brian P. Biggins, Esq., Brian P. Biggins & Associates Co., L.P.A., Rocky River, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Westrock Advisors, Inc. (Claimant) v. Mitchell Toland (Respondent) Case Number: 03-05565 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Westrock Advisors, Inc. ("Westrock") hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY. Respondent Mitche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Wood and Jean Wood (Claimants) v. McDonald Investments, Inc. and Ward Caldbick (Respondents) Case Number: 03-05559 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Barry Wood ("B. Wood") and Jean Wood ("J. Wood") hereinafter collectively referred to as "Claimants": Joanne Schultz, Esq., Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernadette Flory (Claimant) v. Edward D. Jones & Co., L.P. (Respondent) Case Number: 03-05558 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Bernadette Flory ("Flory") hereinafter referred to as "Clain Esq., Winstead Sechrest & Minick, P.C., Dallas, TX. ant": John P. Kincade, Respondent Edward D. Jones &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration -Between: Michele Peterson as Administratrix of the Estate of Doris Gagne, and Trustee of the Gagne Family Trust, Doris Gagne Trust, and the A.G. Bolton Limited Partnership Trust (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Jill M. Packard and Maureen C. Keating (Respondents) Case Number: 03-05557 Hearing Site: New York, New York Nature of the Dispute: Customers v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants W. James Clees and Elsie L. Clees Names Nnmher- 03-05555 Site: Charlotte, North Carolina Morgan Stanley DW, Inc., Kevin S. Baltimore, and Karl H. Ruppert Nature of the Dispute: Customers vs. Member and Associated Persons. RFPRFSFNTATTDN OF PARTTRS Claimants W. James Clees and Elsie L. Clees, hereinafter collectively referred to as "Claimants,"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nfthe Claimants Case Number 03-05554 Deward Smith Lorene Smith Names nf the Respondents Ttomn£ Sift*: Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Louis Reid, Jr. Alison Garrett Reid Nicholas-Applegate Capital Management, LLC Nature of the Dispute: Customers v. Member, Non-Member and Associated Persons, , i RFPRKSF.NTATTON OF PARTIES C

Award NASD Dispute Resolution In the Matter of the Arbitration Between:, Pimm ant rng^'NJiimhflr 03-05552 Cindi Ettinger nf thft T? ftgpnnHflnta Hftflring Sitiv Philadelphia, PA GKN Securites Corp. Robert J. Nosel Phih'p A. Gibson Shochet Securities, Inc. Bluestone Capital Corp. Sands Brothers & Co., Ltd. Nature of the Dispute: Customer vs. Member, Terminated Members and Associated Persons. HF.PRff,SirNTATTf>N Claimant, Cindi Ett