Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward G. Messer (Claimant) v. Raymond, James & Associates, Inc., Robert Thomas Securities, Inc., Raymond James Financial Services, Inc., and Robert Walen (Respondents) Case Number: 02-05201 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Edward G. Messer ("Messer") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael R. Petrucelli (Claimant) v. Merrill Lynch, Pierce, Fenner &'Smith, Inc. (Respondent) Case Number: 02-05197 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Michael Petrucelli ("Petrucelli") hereinafter referred to as "Claimant": John I.E. Markham, n, Esq., Markham & Read, Boston, MA. Respondent Merrill Lyn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Caqf* Number- 02-05196 Edwin R. and Connie Horner Names nf thfi Pegpnndents Hiring Site- Philadelphia, PA Continental Broker Dealer, Corp., Anthony J. Calascione, and Thomas M. Tiernan, Jr. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Edwin R. and Connie Horner, hereinafter collectively ref

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dianne Fileccio, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Paul Tuchman, Respondents Case Number: 02-05193 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Dianne Fileccio ("Fileccio") hereinafter referred to as "Claimant": Joseph O'Donnell, Esq., Investment R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05190 DaVid L. Markland, claimant vs. Pruco Securities Corporation and Ross W. Whitfield, respondents. ATTORNEYS: Claimant appeared pro se, Martinsville, IN. For Respondents appeared Melanie D. Margolin, Esq., of the firm Locke Reynolds, LLP, Indianapolis, IN. DATE FILED: September 4, 2002 CASE SUMMARY: Claimant alleged that respondents breached their fiduciary duty by failing to

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert S. Cohen and Maryann Kuzel Cohen (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Ury (Respondents) Case Number: 02-05189 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert S. Cohen ("R. Cohen") and Maryann Kuzel Cohen ("M. Cohen") hereinafter collective

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Kramer, Don Geisinger, and Murrey Seidner, Individually and as Trustee of the Seidner Family Trust v. Wells Fargo Securities, LLC, 17k/a First Security Van Kasper, Inc., Michael A. Poutre, II, and Walter B. Terry, Jr. Case Number: 02-05185 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Case Nnmher- 02-05181 Janine Kennedy Name nf the Rpgpnndents Nparing Site- Pittsburgh, PA Jonathan Caromano J J.B. Billiard, W. L. Lyons, Inc. REPRESENTATION OF PARTTFS Claimant, Janine Kennedy, hereinafter referred to as "Claimant", was represented by Robert W. Goehring, Esq., Robert W. Goehring & Associates, Pittsburgh, Pennsylvania. Respondents,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Way and Taune Johnston and Names of Respondents Merili Lynch Pierce Fenner& Smith, Inc., and Scott D. Lile Case Number: 02-05178 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Way and Taune Johnston ("Claimants") were represented by David P. Andis, Esq., Gauntt &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eileen Shuttleworth Case No. 00-03973 Names of Respondents Max Patrick Linn Investment Management & Research, Inc. n/k/a Raymond James Financial Services, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Eileen Shuttleworth ("Shuttleworth"), hereinafter referred to as "Claimant": Eric E. Ludin, Esq. of Piper, Ludin,