Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02659 Constance Kamberos and Names of the Respondents Hearing Site: Chicago, Illinois Primex, Advanced Equities, Inc., Dwight O. Badger, Lee M. Wiskowski, Keith G. Daubenspeck, and Eric W. Kim Nature of dispute: customer v. member and associated persons. REPRESENTATION OF PARTIES Constance Kamberos, ("Claimant")) was represented b

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbra J. Wright and 03-02658 Phoenix, Arizona Name of Respondents Edward D. Jones & Co. Reed C. Lowden, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Barbra J. Wright ("Claimant") was represented by Jeffrey M. Jones, Esq., Old Sacramento, California. Edward D. Jones & Co, ("Respondent Edward D

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02655 Betty L. Jurgensen Names of the Respondents Hearing Site: Atlanta, Georgia American Express Financial Advisors, Inc. Thomas R. Berg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Betty L. Jurgensen, hereinafter referred to as "Claimant": Allison S.H. Ficken, Esq., Gard

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Campbell (Claimant) v. Edwin Lair and Butler Wick & Company (Respondents) v. Linda Black (Third-Party Respondent) Case Number: 03-02645 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person v. Customer REPRESENTATION OF PARTIES Claimant Elizabeth Campbell, hereinafter referred to as "Claimant": Tracey A. Laslo, Esq., Alliance, OH

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean MacDonald and Adam Silver (Claimants) v. A.B. Watley, Incr(Respondent) Case Number: 03-02644 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Sean MacDonald ("S. MacDonald") and Adam Silver ("A. Silver") hereinafter collectively referred to as "Claimants" appeared pro se through Sean MacDonald. Respondent A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hand Securities, Inc. (Claimant) v. U.S. Clearing, a Division of Fleet Securities, Inc. (Respondent) Case Number: 03-02635 Hearing Site: New York, New York Nature of the Dispute: Member v. Member. REPRESENTATION OF PARTIES Claimant Hand Securities, Inc. ("Hand Securities") hereinafter referred to as "Claimant": John J. Phelan, III, Esq., New York, NY. Respondent U.S. Clearin

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Denise Barnes and 03-02634 Chicago, Illinois Name of Respondents Signator Investors, Inc. Robert D. Lyman, Jr. and Keith B.Mooney Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Denise Barnes ("Claimant") was represented by Leslie A. Blau, Esq., Blau & Banovich, Chicago, Illinois. Sign

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04512 Martin Goodman, Claimant vs. Ed Patzer and Ronald Menges, Respondents. ATTORNEYS: Claimant, Martin Goodman, appeared Pro Se, Santa Fe, New Mexico. For Respondents, Edward L. Patzer and Ronald S. Menges, appeared Michael Nacarrato, Esq., St. Louis, Missouri. DATE FILED: October 11, 2000 CASE SUMMARY: Claimant alleged that due to respondents' unsuitable recommendations and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02630 Janet C. Kelley Names of the Respondents Hearing Site: New Orleans, LA Morgan Stanley DW Inc. Dominick P. Musso Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Janet C. Kelley ("Kelley"), hereinafter referred to as "Claimant": James F. Willeford, Esq., New Orleans, LA. For Morg

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lawrence J. Phalin, as Trustee for the Julie G. Klein Irrevocable Trust dated 10/18/91 Name of the Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. Nature of the Dispute: Customer vs. Member Case Number: 03-02629 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Lawrence J. Phalin, as Trustee fo