Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 02-02492 Raymond James & Associates, Inc., Name nf the RespnnHerrf Hearing Site: Houston, Texas Eliot Dufour, Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimant," was represented by Rick A. Buchwalter, Esq. of Raymond James & Associates, Inc. Respondent Eliot Dufour, hereinafter referred to as "Respondent," did not a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: NamR nf the Claimant P.agfi Number! 02-02491 Elinor Lewis Stephens, Name of the Respondents Hearing Site- Houston, Texas First Union Securities and Jonathan Bolter, O Claimant Elinor Lewis Stephens, hereinafter referred to as "Claimant," was represented by Brian Turner of Robins, Cloud, Greenwood & Lubel located in Austin, Texas. Respondents First Union Securities and Jo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ^r 02-02484 Raymond & Peggy Geldmeier Raymond A. Geldmeier nf flip p,^pr>nd^TJtg H pflr ins Sjt ft * Dallas, Texas A.G. Edwards & Sons, Inc.; John Duncan Montfort; and, Ann A. Moore NATTTPF O? TF Public Customers v. Member Firm and Associated Person Claimant Raymond A. Geldmeier & Peggy K. Geldmeier, hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namfi of thft P.lainiflTit Pasi» Number: 02-02483 John R. Siemering, Name of the Respondent Hiring Site: Austin, Texas Edward Jones, Pir.pT3Tr.STr.NT AyyON OF PARTTFS Claimant John R. Siemering, hereinafter referred to as "Claimant," was represented by J. Mitchell Clark, Esq. of Law Offices of J. Mitchell Clark located in Corpus Christi, Texas. Respondent Edward Jones, herei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Michael S. Palko & Rose Anne Palko, JTTEN Michael S. Palko IRA Michael S. Palko IRA Rollover Micheal S. Palko Roth IRA Rose Anne Palko IRA Rose Anne Palko Roth IRA Name of the Respondent Morgan Stanley DW Inc. Case Number: 02-02481 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Michael S. Palko & Rose Anne Palko, JTTEN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Stephen Sumner Case Number: 02-02475 Hearing Site: Orlando, Florida Nature of Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Jason T. Edelmann, Esq., Robin, Fortu

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02620 Simon G. Upton, claimant vs. Track Data Securities Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se, Wanchai, Hong Kong Respondent appeared through its Compliance Manager, Marshall Ian Barron, Boca Raton, FL. DATE FILED: June~2Q, 2000 " ~~ CASE SUMMARY: Claimant alleged that the respondent failed to execute a trade due to a series of procedural and system errors,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Helga Schmidt Pase Number- 02-02473 Names nf the Respondents Daniel Owen Maze, Maria Maze, and Claremont Associates Hearing Site! Philadelphia, PA Nature of the Dispute: Customer vs. Associated Persons and Non-Member RFPRF.SKNTATTON OF PARTIES Claimant, Helga Schmidt, hereinafter referred to as "Claimant", was represented by Gavin P. Lent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Party Name(s), Investec Ernst & Company (Claimant) v. William Brunner, (Respondent) Case Number: 02-02468 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associate Person REPRESENTATION OF PARTIES Claimant, Investec Ernst & Company: Attorney: Kenneth O'Connor, Esq., New York, of the law firm of Lubiner & Schmidt. Respondent, William Brunner: Attorne

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Harmonay as Trustee of the Trust Created Under the Will of William L. Harmonay F/B/O S. Leo Harmonay (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and James J. Montalto (Respondents) v. S. Leo Harmonay (Third-Party Respondent) Case Number: 02-02465 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person.