Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jones & Associates, Inc. and Neuberger Berman, LLC (Claimants) v. CRT Capital Group, LLC and Hill, Thompson, Magid & Co., Inc. (Respondents) Case Number: 03-03774 Hearing Site: New York, New York Nature of the Dispute: Members vs. Members. REPRESENTATION OF PARTIES Claimants Jones & Associates, Inc. ("Jones") and Neuberger Berman, LLC ("Neuberger") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William A. Walrod Revocable Trust and Ruth B. Walrod Revocable Trust (Claimants) v. Merrill Lynch Pierce, Fenner, & Smith Inc., Donate J. Eassey, Daniel K. Hocking, and Merrill Lynch & Co., Inc. (Respondents) Case Number:03-03773 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Cla

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles P. Brink and 01-01355 Minneapolis, Minnesota Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Charles P. Brink ("Claimant") was represented by Mark J. Briol, Esq. and Amy J. Ihlan, Esq., Briol & Associates, Minneapolis, Minnesota. Charles Schwab & Company, Inc. ("Respondent") was represented by Sean Meehan, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names rtf the (71 aim ants Roger D. and Patricia H. Grant Names nf the Edward D. Jones & Co. John Francis Brosnan, HI Raymond James Financial Services, Inc. Number- 03-03772 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customers vs. Members and Associated Person. RF.PKF.SF.NTATTON OF PARTTFS Claimants, Roger D. and Patricia H. Grant, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant JohnR. Schuck,Sr. Names of the Respondents Prudential Equity Group, LLC Stephen Robert Gagne Case Number 03-03771 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRKSRNTATTON OF PARTIES Claimant, John R. Schuck, Sr., hereinafter referred to as "Claimant", was represented by Donald M.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Raymond L. Weaver v. 03-03768 Denver, Colorado Respondent Washington Square Securities, Inc. Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES Raymond L. Weaver ("Claimant") was represented by David E. Graven, Esq., and Jeffrey Pederson, Esq., of Burg Simpson Eldredge Hersh & Jardine, Englewood, Colorado and Tracy Pride Stoneman, Esq., of Tr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thft Claimants Elizabeth F. Botsford, Charles Hightower, Rosemary Bozsa and Carl E. Bozsa Name of the Respondent First Republic Group, LLC Case Number 03-03766 Hearing Site: Indianapolis, Indiana M&TIIPF HF Customers vs. Member Firm f Mark E. Maddox, Esq. of the law firm Maddox, Hargett & Caruso, P.C., located in Fishers, Indiana represented Claimants

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between l Name of Claimant Marion K. Burlew and 03-03765 Chicago, Illinios Name of Respondents A.G. Edwards & Sons, Inc. and Robert Hodgkins Nature of the Dispute: Customer vs. Member firm and Associated Person. l REPRESENTATION OF PARTIES Marion K. Burlew ("Claimant") was represented by Lawrence M. Landsman, Esq., of Block & Landsman, located in Chicago, Illinois

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03757 George K. Webster Patricia S. Webster Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. Michael Russell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For George K, Webster and Patricia S. Webster, hereinafter collectively referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Edelson (Claimant) v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc. and James Joseph Reilly (Respondents) Case Number: 03-03752 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Stuart Edelson ("Edelson") hereinafter referred to as ''Claimant": Sameer Rastogi, Esq., Sichenz