Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00459 Diane Morris Davidson f/k/a Diane Morris Dunson Diane Davidson and Gene Davidson Dunson Family Trust Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Dearl L. Hemphill Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00458 Robert K. Brooks, Claimant vs. Cardinal Capital Management, Inc., Joseph Azzata, and Christopher Sweeney, Respondents. ATTORNEYS: For Claimant, Robert K. Brooks, ("Claimant"), appeared Neil S. Baritz, of the firm Baritz and Colman LLP, Boca Raton, FL. For Respondents, Cardinal Capital Management, Inc., Joseph Azzata, and Christopher Sweeney, (collectively "Respondents"), appeared N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00452 William A. Warde Names of the Respondents Hearing Site: Orlando, Florida A.G. Edwards & Sons, Inc. William Tabone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William A. Warde, referred to as "Claimant": Richard J. Lantinberg, Esq., Law Offices of Cooper Ridge & Lantinberg, Jack

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Taboga Panama Mineral Corporation Names of the Respondents R. K. Grace & Company, a dissolved Florida Corporation, and John D. Kaweske Case Number: 03-00446 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Taboga Panama Mineral Corporation, hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec Ernst & Company (Claimant) v. Kenneth William Wittenberg (Respondent) Case Number: 03-00440 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Investec Ernst & Company ("Investec") hereinafter referred to as "Claimant": Edwin A. Zipf, Esq., Bressler, Amery & Ross, P.C., Morristown, NJ. Respondent Kenn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Julie J. Herman, Claimant v. Sheila A. Steury and First Union Securities, Inc. (formerly known as Everen Securities, Inc.), Respondents. Case Number: 00-04341 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Julie J. Herman ("Herman") was represented by David P. Meyer, Esq., of Meyer & Olive, Columbus, Ohio. Respondents Sheila A. Steury ("Steury") and Fi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Name of Claimant l Gary Tomlinson and 03-00438 Oklahoma City, Oklahoma Name of Respondent Arvcst Bank Operations, Inc. •. ' i Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Gary Tomlinson ("Claimant") was represented by Jeff Nix, Esq., Tulsa, Oklahoma. Arvest Bank Operations, Inc. ("Respondent") was represented by James R. Polan, Esq. a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-00437 Lance Johnson and The Lance Johnson Trust Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley DW, Inc., Prudential Securities, n/k/a Prudential Equity Group, Access Financial and Adam M. Makowka Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Lance Johnson and The L

Award NASD Dispute Resolution In the Matter ol the Arbitration between: Names of the Claimants Case Number: 03-00433 Chester R. Arcement, Jr. Catherine C. Arcement Name of the Respondent Hearing Site: New Orleans, LA Merrill Lynch Pierce Fenner & Smith Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Chester R. Arcement, Jr. and Catherine C. Arcement, hereinafter referred to as "Claimants": L, Jerome Stanley, L. Jero

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00431 Edwin Flatte MicheleFlatte Names of the Respondents Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith Lawrence Tentarelli Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edwin Flatte and Michele Flatte, hereinafter collectively referred to as "Claimant