Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00306 Charles J. Aucoin RebeccaS. Aucoin Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Ronald Clayton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles J. Aucoin and Rebecca S. Aucoin, hereinafter collectively referred t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Breed and Patricia Breed IRA (Claimants) v. A.G. Edwards & Sons, Inc. and Cathy Downey-Rispoli (Respondents) Case Number: 04-00297 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person, REPRESENTATION OF PARTIES Claimants Patricia Breed ("Breed") and Patricia Breed IRA ("Breed IRA") hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Kaufman and Dorothy Kaufman, Claimants v. Quick & Reilly, Jay Kuperman, and David Cochrane, Respondents Case Number: 00-05570 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Arthur Kaufman and Dorothy Kaufman, hereinafter referred to as "Claimants": Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, P.A., Boca Raton, Florida. For Quick & Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leerink Swann & Co., Inc. (Claimant) v. Paul S. Hartwell (Respondent) Case Number: 04-00295 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Leerink Swann & Co., Inc. ("Leerink") hereinafter referred to as "Claimant": John I. Fitzgerald, Leerink Swann & Co., Inc., Boston, MA. Respondent Paul S. Hartwell (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the f.toimant Case Number- 04-00287 Stacey Cancilla Names of the Respondents Hearing Site- Philadelphia, PA Wachovia Securities, LLC, Jeffrey Clauss, Timothy Grable, Jr., and Brian McGrath Nature of the Dispute: Customer vs. Member and Associated Persons RKPRF.SF.NTATTON OF PARTTF.S Claimant, Stacey Cancilla, hereinafter referred to as "Claimant", pro se, did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00286 Denise M. Zagnoli Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. Merle L. Zislin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Denise M. Zagnoli, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer, Doppelt Milbrath & Gilc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00279 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Adolfo Cordero Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LUC, hereinafter referred t© as "Claimant"; Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Adolfo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Norman and Mary Fowler and Name of Respondent Richard A. Comeau 04-00273 Omaha, Nebraska Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Norman Fowler and Mary Fowler, hereinafter referred to as "Claimants" were represented by Jerome Olitt, Esq., Arbitration and Mediation Specialists, Inc., Six Landmark

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00272 William B. McEachern, Claimant v. Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Mark Patterson, Respondents. ATTORNEYS: ~ For Claimant, William B. McEachern, ("Claimant"), appeared Mark A. Friel, Esq., of me firm Stoll Stoll Berne Lokting & Shlachter, P.C., Portland, OR. For Respondents, Morgan Stanley DW, Inc. f/k/a Dean Witter Reynolds, Inc. and Mark Patterson, ("R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00271 James D. Scurlock, Claimant v. E*Trade Securities, LLC, Respondent. ATTORNEYS: Claimant, James D. Scurlock, ("Claimant"), appeared pro se, Santa Monica, CA. Respondent, E*Trade Securities, LLC, ("Respondent"), appeared through their in-house counsel, John Bersiny, Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member DATE FILEDrjanuary 15, 2004 CASE SUMMARY: Claimant allege