Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol J. Cecala (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Brian J. Buzak (Respondents) Case Number: 03-00936 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Carol J. Cecala ("Cecala") hereinafter referred to as "Claimant": Richard C. Engel, Esq., Engel & En

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber, Inc. n/k/aUBS Financial Services, Inc. (Claimant) v. Brian N. Drake (Respondent) Case Number: 03-00933 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Paine Webber, Inc. n/k/a UBS Financial Services, Inc. ("UBS") hereinafter referred to as "Claimant": William M. Ejzak, Esq., Schuyler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ryan Beck & Co., Inc. Case Number: 03-00925 Name of the Respondent Israr Nasir Hearing Site: Boca Raton, FL Nature of the Dispute: :jvlember vs. Associated Person, REPRESENTATION OF PARTIES For Ryan Beck & Co.[ Inc. ("RBC"), hereinafter referred to as "Claimant": Martin Cole, New York, New York. For Israr Nasir ("Nasir"), hereinafter referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Ciaimants Frank J. Elie, Nina Elie, anfl the Elie Living Trust u/a/d 2/18/93 and i Name of Respondent David F. Lau Case Number: 03-00915 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Frank J. Elie, Nina Elie, and the Elie Living Trust u/a/d 2/18/93 ("Ciaimants") were represented b

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Amy Nislow Name of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard Hand Merrill Lynch & Co., Inc. Case Number: 03-00911 Hearing Site: Philadelphia, PA Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant, Amy Nislow, hereinafter referred to as "Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John R. Taylor Financial Group, Inc. Case No. 00-04399 Names of Respondents A.G. Edwards & Sons, Inc. Danny L. Wilson Tonya G. Fulcher Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For John R. Taylor Financial Group, Inc. ("JRTFG") hereinafter referred to as "Claimant": Kenneth R. Shemin, Esq. of the Shemin Law Firm, P. A., Fayetteville, AR. For Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00908 Earl E. Babcock, Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., Respondent. ATTORNEYS: For Claimant, Earl E. Babcock, ("Claimant"), appeared Herbert L. Ocks, Esq., Philadelphia, PA. Respondent, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., ("Respondent"), appeared through its in-house counsel Edmund Shea, Esq. NATURE OF DISPUTE: Customer v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard Tuten Name of the Respondent Laidlaw Global Securities, Inc. Nature of the Dispute: Customer vs. Member Case Number: 03-00904 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Richard Tuten, referred to as "Claimant": Philip J. Snyderbum, Esq., Snyderburn, Rishoi & Swann, Orlando, Florida. For Laidlaw Global Securities, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Harriet Mead and William Mead Name of the Respondent Morgan Stanley DW, Inc. Name of the Third Party Respondent Glenda Mead Case Number: 03-00902 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member v. Customer. REPRESENTATION OF PARTIES For Estate of Harriet Mead and William Mead, hereinafter referred to as "Cl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Douglas Biggins and Jo-Ann Biggins, Joint Account Jo-Ann Biggins Names of the Respondents A.G. Edwards & Sons, Inc. Ronald Keebler Case Number: 03-00901 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas Biggins and Jo-Ann Biggins, Joint Account