Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan C. Golden, Robert Golden, Susan and Robert Golden as Trustees of the Susan Golden and Robert Golden Living Trusts, Robert Golden as Custodian of the Rachel Golden Custodial Account, and Robert Golden as Custodian of the Lindsey Golden Custodial Account (Claimants) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 04-06390 Hearing Site: New York, New York Nature of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Sumner W. Mead and Nancy P. Mead and 04-06382 Chicago, Illinois Name of Respondents John Hancock Funds, LLC Christopher Sund Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Sumner W. Mead and Nancy P. Mead ("Claimants") were represented by Sumner Mead. John Hancock Funds, LLC ("Respondent JHF") was rep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06374 Richard Warmer Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated John Lacy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Marmer, hereinafter referred to as "Claimant", was not represented in this arbitrati

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06371 Joseph J. Shunnarah Names of the Respondents Hearing Site: Birmingham, AL UBS PaineWebber, Inc. Larry Salem Jeff Gaskin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph J. Shunnarah, hereinafter referred to as "Claimant'*: Richard S. Frankowski, Esq., Whatley Drake L.L.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06370 Claude T. McKee Names of the Respondents Hearing Site: Birmingham, AL Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Claude T. McKee ("McKee") appeared pro se. For Morgan Keegan & Company, Inc. ("MK&C"), hereinafter referred to as "Respondent": Elizabeth R. Floyd, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06360 Mary Ann Steward Names of the Respondents Hearing Site: Orlando, Florida Allen Douglas Securities, Inc. Mark Anthbny Cahill Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Ann Steward, hereinafter referred to as "Claimant": William Young, Esq., Hooper & Weiss, L.L.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn E. and Patricia N. Angle; Harrison and Mary Jane Burton; Harrison and Mary Jane Burton, Trustees of the Harrison and Mary Jane Burton Family Trust; Mary Jane Burton Custodian FBO Jake Schiffe, a minor under the California UGMA; Mary Jane Burton Custodian FBO Michael C. Burton, a minor under the California UGMA; Lee H. Butler; Armand R. and Helene G. Calande; Lois E. Caldwell Benef

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-OQ290 GKN Securities Corp., Inc., claimant vs. Dennis Bodenstein, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Vice President, New York, NY. For Respondent appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on a promissory note due upon his termination of employ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gloria Gari and Glen R. Gary (Claimants) v. Steven Brian Rock and Citicorp Investment Services, Inc. Case Number: 04-06347 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person «-* REPRESENTATION OF PARTIES Claimants Gloria Gari and Glen R. Gary hereinafter collectively referred to as "Claimants": Frederick H. Mandel, Esq., Mandel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Leo (Claimant) vs. MFS Fund Distributors, Inc. (Respondent) Case Number: 04-06344 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert A. Leo hereinafter referred to as "Claimant": Laura S. Schnell, Esq., Eisenberg & Schnell LLP, New York, NY. Respondent MFS Fund Distributors, hie. hereinafter r