Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 04-07422 William Wilder Selma Wilder Names nf the Respondents Hearing Site- Philadelphia, PA AXA Advisors, LLC Karr Earth Associates, Inc. Christopher Doyle Joiner Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. RFPRFSF.NTATTON OF PARTTF.S Claimants, William Wilder and Selma Wilder, hereinafter collec

Stipulated Award NASD In the Matter of the Arbitration Between: Alvin Meiseles and Gloria Ruth Meiseles, Individually and as Trustee for the Gloria Ruth Meiseles Trust DTD 10/24/96, Claimants v. Asset Management Securities Corporation, James Michael Barry and James Albert Barry, Jr., Respondents Case Number: 01-00328 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Alvin Meiseles ("AM") and Gloria Ruth Meiseles ("GRM"), Individually and a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the rinimnnt Case Nnmhgr 04-07421 Merrill Lynch Pierce Fenner & Smith, Inc. Nrnnp nf tVie Respondent Hearing Site' Charlotte, North Carolina Grandy Michael Crump Nature of the Dispute: Member vs. Associated Person. KFPKF.SF.NTATTON OF PARTTFS Claimant, Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant", was represented by David F. McComb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Resortcol, Inc. Alfredo Acosta Names of the Respondents Merrill Lynch Pierce Fenner & Smith Maryann Correa Case Number: 04-07420 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Resortcol, Inc. and Alfredo Acosta, hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jimmy Kenney June Kenney Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Rod Guercio Robert Wiggins Case Number: 04-07416 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jimmy Kenney ("Jim Kenney") and June Ke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07415 Edward L. Sweeney Ilidia R. Sweeney Name of the Respondent Hearing Site: Orlando, Florida Prudential Securities, Inc., a/k/a Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward L. Sweeney ("E. Sweeney") and Ilidia R. Sweeney ("I. Sweeney"), hereinafter collectively

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Virginia Yeager and Case Number: 04-07411 Hearing Site: Omaha, Nebraska Names of Respondents Morgan Stanley DW, Inc., and Ryan M. Jochim NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Virginia Yeager ("Yeager" or "Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Omaha, Nebraska. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margarita M. Botero-Johnson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Gregory M. Lee, Respondents Case Number: 04-07398 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Armand Salese, Esq. Law Offices of Armand Salese PLLC Tucson, Arizona For Respo

r* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07387 Max Safir Revocable Trust, Claimant v. UBS Financial Services, Inc. and Charles Lore, Respondents ATTORNEYS: For Claimant Max Safir Revocable Trust ("Claimant") appeared I. Michael Bayda, Esq., of the firm Jacobs Persinger & Parker, New York, NY. For Respondents UBS Financial Services, Inc. and Charles Lore (collectively "Respondents") appeared Edmund J. Shea, Esq., in-house

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill and Nancy Weakley and Don and Catherine Carpenter (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc., Kevin Cox, and Joe Vinciguerra (Respondents) Case Number: 04-07383 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Bill Weakley ("B. Weakley"), Nancy Weakley ("N. Weakley") Don Carpenter ("