Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02513 Earl Concors Elaine Concors Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Earl Concors ("EAC") and Elaine Concors ("ELC"), hereinafter collectively referred to as "Claimants": Scott J. Link, Esq., Ackerma

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ctaimant/Counter-Respondent First of Michigan Corp. and 00-04498 Southfield, Michigan Respondents/Counterclaimants/Third Party Claimants Robert R. Richards and Elizabeth Richards and Third Party Respondents Noel Reschke Violet Kobielski, and Brian Rentz REPRESENTATION OF PARTIES First of Michigan Corp. ("FOMC") Noel Reschke ("Reschke"), Violet Kobiel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Bin Im and Junk Sook Im, Sang G. Park, Young Jo Shin and Young Ja Shin, Steven Park and Kay Park, Young H. Lee and Ou Ai Lee, and The Allergy Medical Group Pension Plan, Claimants v. Yojin Jung, Respondent Case Number: 03-02504 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02503 Eugene F. Mauck HI, Claimant vs. Jon Garcia, Respondent. ATTORNEYS: Claimant appeared pro se, Fairfax, VA. Respondent appeared pro se, Washington, DC. DATE FILED: April 4, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to pay him earned commission income for a variable life policy processed and issued February 9, 2002. Claimant maintained that due to Respondent's ac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas A. Burns, III (Claimant) v. Gotham Trading Group, LLC (Respondent) Case Number: 03-02500 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas A. Burns, III ("Burns") hereinafter referred to as "Claimant" appeared pro se. Respondent Gotham Trading Group, LLC ("Gotham") hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Devillo and Norma M Devillo (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and William P. Loftus (Respondents) Case Number: 03-02497 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Stephen Devillo and Norma M. Devillo hereinafter collectively referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert S. Grajewki Sigmund Investments, LLC Sigmund Investments, LLC, No. 1 Sigmund Investments, LLC, No. 2 Sigmund Investments, LLC, No. 3 Names of the "Respondents Bear Stearns & Co., Inc. Bear Steams Securities Corp. The Bear Stearns Companies, Inc. i- 03-02492 Hearing Site* Charlotte, North Carolina Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 03-02491 Robert Bruce Hoy, Jr. Name of the Respondents Hearing Site: Philadelphia, PA Wachovia Securities, Inc. (formally known as First Union Securities, Inc. and Wheat First Union, Inc.) Nature of the Dispute: Customer vs. Member RFPRFSFNTATTON OF PARTIES Claimant, Robert Bruce Hoy, Jr., hereinafter referred to as "Claimant", was repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant/ Counterclaim Respondent Robert W. Baird & Co., Incorporated and 03-02483 Milwaukee, Wisconsin Name of Respondent/ Counterclaim Claimant Stephen C. Carver Nature of the Dispute: Customer vs. Member Counterclaim: Member vs. Customer REPRESENTATION OF PARTIES Robert W. Baird & Co., Incorporated ("Baird") or ("Claimant/ Counterclaim Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Richard F. Oorlog, Individually, and on behalf of The Richard F. Oorlog Trust v. 03-02482 Minneapolis, Minnesota Respondents Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc., Prudential Investment Corporation and William M. Turner, n Nature of Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Ric