NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01575 Elizabeth K. Hubler and Lorna B. Hubler, Claimants v. Hennion & Walsh, Inc. and Richard Hennion, Respondents ATTORNEYS: For Claimants Elizabeth K. Hubler and Lorna B. Hubler (collectively "Claimants") appeared through their representative, Craig W. Hubler, Tigard, OH. For Respondents Hennion & Walsh, Inc. and Richard Hennion (collectively "Respondents") appeared Keith W. Miller, Es

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Taylor and 04-01569 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Michael Robert Detjen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OFPARTTES Carol Taylor ("Claimant") was represented by Howard Stein, Esq., Howard Stein Attorney At Law, Chicago, Illinois. Me

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01567 Diana B. Jones Names of the Respondents Hearing Site: Orlando, Florida American Express Financial Advisors, Inc. Peggy H. Langdon Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Diana B. Jones, hereinafter referred to as "Claimant": Brenda M. Combs, Esq., Williams Schifm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ) Name of the Claimant ) Case Number: 04-01564 Paul G. Schoen, as Successor Trustee ) of the Suzanne K. Schoen Trust ) Name of the Respondents ) Hearing Site: St. Louis, Missouri Merrill Lynch Pierce Fenner & Smith, Inc. ) and Jordan M. Gelb ) NATIfRp np pIRPUTF Customer vs. Member Firm and Associated Person RFPPFSFMTATinM HF PARTIES Howard J. Stein, Esq., located in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Piycraft Industries, Inc.. Claimant v. Bane of America Investment Services Inc. and Carlos Escobar, Respondents Case Number. 00-05709 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Maurice Wainer, Esq. Snipper, Wainer & Markoff Los Angeles. California For Respondents: Michael J. Lawson, Esq. Steefel Levitt & Weiss San Francisco, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants George Richard Macklem, Jr. Phyllis L Macklem Name of the Respondent A.G. Edwards & Sons, Inc. Case Number: 04-01563 Hearing Site: Boca Raton, FL Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES For Claimants George Richard Macklem, Jr. ("GRM") and Phylliss J. Macklem ("PJM"), hereinafter referred to as "Claimants": Bra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Morgan Keegan & Company, Inc. Name of the Respondent Scott John Egan Case Number: 04-01562 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc. ('Morgan Keegan"), hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Morgan Keegan, Memphis, Te

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nordo Nissi (Claimant) v. Prudential Securities, Inc., Robert Shannon and Robert Stein (Respondents) Case Number: 04-01558 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Nordo Nissi ("Nissi") hereinafter referred to as "Claimant": Scott F. Gleason Esq., Gleason Law Office PC, Have

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marc Andre Limot and Shirley A. Limot (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-01557 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Marc Andre Limot ("M. Limot") and Shirley A. Limot ("S. Limot") hereinafter collectively referred to as "Claimants": Daniela Hargis, Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01553 Victor Rincon Names of the Respondents Hearing Site: San Juan, Puerto Rico Allmerica Investments, Inc. Allmerica Financial Life Insurance & Annuity Company Veravest Investments, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Victor Rincon, hereinafter referred to as "Claimant": Jose A. Ax