02-04402-Award-NASD-20031106.pdf
AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sandra Jo Arbogast and 02-04402 Phoenix, Arizona Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Eugene E. Roesser, Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Sandra Jo Arbogast ("Claimant") was represented by Alex B. Vakula, Esq., Vakula and Huber, PLC, Prescott, Arizona. Merr