Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant/CounterRespondent Case Number: 00-4375 John E. Banta Respondent/CounterClaimant Hearing Site: Chicago, Illinois James A. Hunt REPRESENTATION OF PARTIES Claimant/CounterRespondent, John L. Banta, hereinafter referred to as "Banta": Christopher Barber, Esq. and Shawn Y. Valukas, Esq. of the law firm Piper Marbury Rudnick & Wolfe located in Chicago, Illinois Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00732 Thomas and Lisa McHale JTWROS Lisa Janice McHale Revocable Trust Thomas McHale Revocable Trust Names of the Respondents Hearing Site: Tampa, FL Morgan Keegan & Company, Inc. Richard Henry Angelotti Edward Martin Rosenberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00731 Lois R. Roberts Revocable Living Trust, Scott D. Moore and Debra A. Moore, Co-Trustees Name of the Respondents Hearing Site: Indianapolis, Indiana J.J.B. Milliard, W.L Lyons, Inc. and Joe D. Keck MATURE OF Customer vs. Member Firm and Associated Person RFPRFRFMTATIOM William P. Kealey, Esq. of the law firm Stuart & Branigan,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: (8-00726 Kyttag N. Kim, Claimant vs. Won Forgione, Respondent. ATTORNEYS: Claimant, Kyung N. Kim, ("Claimant"), appeared pro se, Monte Sereno, CA. Respondent, Won Forgione, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: January 29, 2003 CASE SUMMARY: Claimant alleged that Respondent overcharged her service fees, lied to her, and made unauthorized trades in her accoun

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean Aruda and Patricia Aruda (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Robert E. O'Brien (Respondents) Case Number: 03-00725 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Sean Aruda ("S. Aruda") and Patricia Aruda ("P. Aruda") hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Douglas E. Anderson Name of the Respondents Scott & Stringfellow, Inc., and Ralph H. Saunders, Jr. Case Number 03-00721 Site: Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. ttPPRFSKNTATTON OF PAKTTKS Claimant, Douglas E. Anderson, hereinafter referred to as "Claimant", was represented by Mark J. Krudys, E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Plaimant Page Niimhpr 03-00719 Onyx Group, Inc. Name nf flip Respondents Hearing Site; Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. David Bradley Brooks Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Onyx Group, Inc. "Claimant", was represented by Richard Singer, Esq., Bertsch and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Marvin Blaustein Revocable Trust Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Wale Tarn Mitchel Moskowitz Case Number: 03-00711 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Marvin Blaustein Revocable Trust, hereinafter referr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00710 Roger King Names of the Respondents Hearing Site: Boca Raton, Florida Eric Williams Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roger King, hereinafter referred to as "Claimant": David M. Goldstein, Esq., Law Offices of David M. Goldstein,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael & Katrina Rooney, Caitlin Rooney UTMA, Shannon Rooney UTMA, and Michael Rooney, Jr. UTMA, Claimants v. Wachovia Securities, LLC, Bruce E. Wiegand, and Morton S. Rudin, Respondents Case Number: 03-00704 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Bruce D. Oakes, Esq. O