Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia A. Mclntosh (Claimant) v. Edward D. Jones & Company., LP (Respondent) Case Number: 04-03528 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Patricia A. Mclntosh ("Mclntosh") hereinafter referred to as "Claimant": William K. Flynn, Esq., Strauss & Troy, Cincinnati, OH. Respondent Edward D. Jones & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert and Jill Bowers (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith and Paul Kane (Respondents) Case Number: 04-03526 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Bowers ("R. Bowers") and Jill Bowers ("J. Bowers") hereinafter collectively referred to as "Claimants": Peter A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03503 Jeff A. Morton and Jeff A. Morton IRA, Claimants v. Edward D. Jones & Co., and Kevin R. Aim, Respondents ATTORNEYS: Claimants Jeff A. Morton and Jeff A. Morton IRA (collectively "Claimants") appeared pro se through Jeff A. Morton, Rothsay, MN. For Respondents Edward D. Jones & Co. and Kevin R. Aim (collectively "Respondents") appeared Kimber L, Monroe, Esq., of the firm Greensfelde

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 04-03498 Linda E.Wyatt Linda E. Wyatt ERA Names of the Respondents Hearing Site: Memphis, TN Citigroup Global Markets, Inc. Hilary Zimmerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda E. Wyatt ("Wyatt") and Linda E. Wyatt IRA ("LEW IRA"), hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03498 Linda E. Wyatt Linda E. Wyatt IRA Names of the Respondents Hearing Site: Memphis, TN Citigroup Global Markets, Inc. Hilary Zimmerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda E. Wyatt ("Wyatt") and Linda E. Wyatt IRA ("LEW IRA"), hereinafter collectively referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Nelson R. Henry Loretta. A. Henry Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB, Grubman Case Number: 04-03495 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nelson R. Henry ("N. Henry") and Loretta A. Henry

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03493 Thomas E. Schnabel Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry Mordis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas E. Schnabel, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Sil

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03477 Mary B. Adams, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman, Respondents ATTORNEYS: For Claimant, Mary B. Adams, ("Claimant"), appeared Eddie Easa Farah, Esq., of the firm Farah, Farah, & Abbott, P.A., Jacksonville, FL. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, ("Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00095 Chauncey CS Chen, Claimant vs. Charles Schwab, Respondent. ATTORNEYS: Claimant Chauncey CS Chen ("Claimant"), appeared Pro Se, Elmhurst, NY. Respondent Charles Schwab & Company, Inc. ("Respondent"), appeared through its in-house counsel, Richard A. Karoly, Esq., San Francisco, CA. DATE FILED: January 9, 2001. CASE SUMMARY: Claimant alleged that Respondent misplaced a check tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03475 Mary and Max Angel JTTEN Dawson Industries, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ohio Savings Securities, Inc. Justina Hook Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES Mary and Max Angel JTTEN and Dawson Industries, Inc., hereinafter collectively referr