Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.B. Hanauer & Co., (Claimant) v. Michael Napoli (Respondent) Case Number: 04-06726 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant J.B. Hanauer & Co. hereinafter referred to as "Claimant": David J. Butler, Esq., Dillon, Bitar & Luther, LLC, Morristown, NJ. Respondent Michael F. Napoli hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renee J. Dokter (Claimant) v. Merrill Lynch Pierce Fenner and Smith Inc., and David Ashe (Respondents) Case Number: 04-06723 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Renee J. Dokter ("Dokter") hereinafter referred to as "Claimant": William G. Chris, Esq. and Brian K. Harnak, Esq., Roderick Li

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06720 National Securities Corporation, Claimant v. Larry Nickens, Respondent ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Larry Nickens ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06710 Loretto Renshaw (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) ATTORNEYS: For Claimant Loretto Renshaw ("Claimant") appeared Frank McCullough, CPA, of McCullough and Company, Newton Square, PA. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Alan S. Rafterman, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Curtis S. Garth Names of the Respondents Trader Mart La Salle St. Securities, LLC National Financial Services, LLC Case Number: 04-06706 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Curtis S. Garth, hereinafter referred to as "Claimant", appeared pro se. For Trad

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant , Case Number! 04-06697 - Morgan Keegan & Company, Inc. , Name nf the Respondent ' Hearing Site- Raleigh, North Carolina Ralph Elmer Huey, Jr. > Name nf the Third-Part Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person. i RF.PRFSFNTATTON OF PAKTTFS Claimant, Morgan Keegan & Company, Inc., hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06678 Sarah Swanson Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities, Incorporated W. Gary Floyd Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sarah Swanson, hereinafter referred to as "Claimant": Edward J. Dovin, Esq., Gard Smiley Bishop & Dovin For Pr

StipulatedAward NASD Dispute Resolution In the Matter of the Arbitration Between: Namf- nf the flaimant Pagp Number 04-06856 Richard Stein ' Hearing Site; Washington, DC Linsco/Private Ledger Corporation American Skandia Marketing, Inc. John Reutemann Nature of the Dispute: Customer vs. Members and Associated Person. RFPRPSFNTATTON OF PAttTTFR Claimant, Richard Stein ("Claimant"), was represented by Morgan W. Bentley, Esq., Attorney at L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monte D. Haynes, Monte D. Haynes, IRA, Maureen L, Haynes House Sale Proceeds, and Maureen L. Haynes Res Fund Trust, Claimants v. Raymond James Financial Sendees, Inc., Judith A. McGee, and McGee Financial Strategies, Inc., Respondents Case Number: 04-06841 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James M. Barnes and 04-06828 ; . Chicago, Illinois Name of Respondent . Wachovia Securities, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES James M. Barnes ("Claimant") was represented by Thomas M. Knepper, Esq., Chicago, Illinois. \Yachovia Securities, LLC ("Respondent") was represented by SandraD. Grannum, Esq., D