Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar S. Jalil (Claimant) v. Merrill Lynch & Company; Merrill Lynch, Pierce, Fenner & Smith, Inc.; and Walter C. Szturma (Respondents) Case Number: 04-03650 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Non-Member, Member, and Associated Person REPRESENTATION OF PARTIES Claimant Omar S. Jalil hereinafter referred to as "Claimant": Robert E. Thompson, Esq., Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Case Number 04-03648 Brandi M. Gaudet e nf the Respondent Hearing Site.' Baltimore, MD T. Rowe Price Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member RFPRFSFNTATTON OF PARTTFS Claimant, Brandi M. Gaudet ("Claimant"), was not represented by counsel and appeared pro se at the hearing. Respondent, T. Rowe Price Investment S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Michalowski and Wanda Lewicka (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Respondent) Case Number: 04-03640 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants George Michalowski ("Michalowski") and Wanda Lewicka ("Lewicka") hereinafter collectively referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03629 Cardinal Securities LLC H. David Coherd Robert L. Rosenstein Names of the Respondents Hearing Site: Atlanta, Georgia Scott F. Koch H.C. Wainwright & Co., Inc. John R. Clarke Nature of the Dispute: Member and Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cardinal Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Choung Kook Yoo & Myung HWA Yoo (Claimants) vs. Coleman & Company Securities, Inc. and Taeyong Chung (Respondents) Case Number: 01-00107 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants Choung-Kook Yoo and Myung-HWA Yoo, hereinafter collectively referred to as "Claimants": William B, Scoville, Jr., Esq., Bae & Associates, P.C., New York, NY. Respondents Coleman & C

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Edmund Larrabee 97-02567 A.S. Goldmen & Company, Inc.; and Thomas Mahan For Claimant: Edmund Larrabee ("Larrabee") was represented by James J. Eccleston, Esq., of Eccleston & Associates, located in Chicago, Illinois. For Respondents: A.S. Goldmen & Company, Inc. ("A.S. Goldmen") was represented by Glenn A. Duhl, Esq., of Si

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03628 Terrie R. Dileo Joseph R. Dileo Joseph R. Dileo, IRA Names of the Respondents Hearing Site: Tampa, Florida American Express Financial Advisors, Inc. A. Blythe Miller Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terrie R. Dileo, Joseph R. Dileo and Joseph R. Dileo, IRA, her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03627 Willodean P. Precise, Individually and as IRA Holder Name of the Respondent Hearing Site: Memphis, Tennessee Duncan Williams, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Willodean P. Precise, Individually and as IRA Holder, hereinafter referred to as "Claimant": H, Naill Falls, Jr., Esq., Falls

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03626 Genevieve Rae Jones Names of the Respondents Hearing Site: Atlanta, Georgia Smith Barney a/k/a Citigroup Larry L. Hamel Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Genevieve Rae Jones, hereinafter referred to as "Claimant": Randy Jones, Atlanta, Georgia, pursuant to the General

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eduardo Don, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, E. Joseph McDonnell, John S. Buchanan, Luis F. Ramirez, Michael J. O'Leary, and Melinda L. De Bruyne, Respondents Case Number: 04-03623 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Kristin M, Cano, Esq.