Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Joel Chanen Case Number 02-00134 Name of the Prudential Equity Group, LLC Kenneth M. Cohen Hearing Site- Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Claimant, Joel Chanen ("Chanen"), hereinafter referred to as "Claimant", was represented by Joel Feldman, Esq. and Daniel J. Siegel, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fog rigimgnt f agp Nnrnhfir- 02-00133 Robert F. Fehnel, Executor ofThe Estates of Elizabeth L. Fehnel and Paul O. Fehnel, Sr. f*f t|if* T?^5pnnftef[f Hiring Sitf Philadelphia, PA Vanguard Marketing Corporation Claimant, Robert F. Fehnel, the Executor of the Estates of Elizabeth L. Fehnel and Paul 0. Fehnel, Sr., hereinafter referred to as "Claimant": Kevin J. Seminar, Esq

Award NASD In the Matter of the Arbitration Between: Names of Claimants ' Robert P. Rodgers Boonpheng S. Rodgers Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John W. Scheck, Jr. Case Number: 02-00132 Hearing Site: Tampa, Florida REPRESENTATION OFgARTTES For Robert P. Rodgers and Boonpheng S. Rodgers, hereinafter collectively referred to as "Claimants": Stephen D. Spivey, Esq., Ocala, FL. For Merrill Lynch, Pie

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-00131 Bryan H. Banks and Donna A. Banks, Trustees for the Bryan H. Banks Trust dated 12/26/96 Names of Respondents Hearing Site: Tampa, Florida Edward D. Jones & Co. L.P. d/b/a Edward Jones David L.Hayes REPRESENTATION OF PARTIES Bryan H. Banks and Donna A. Banks, Trustees for the Bryan H. Banks Trust dated 12/26/96, hereinafter referred to as "Claimant", a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Melinny C. Weyland and 02-00123 Chicago, Illinois Name of Respondents First Union Securities, Inc., and Edwin Koldas Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Melinny C. Weyland, ("Claimant"), was represented by Lawrence M. Landsman, Esq., of Block & Landsman, located in Chicago, Illinois. First Un

11V06/03 TUB 15:12 FAX NASD REGULATION ® 002 STIPULATED AWARD NASD Dispute Resolution In ihc Matter of the Arbitration Beiween Claimant / Counter Respondent RBC Dain Rauscher Incorporated V. 02-00121 MinneapolJs> Minnesota Name.of Respondent / Counter Claimant Gerald L. Asplund REFRESENTATTON OF RBC Dain Rauscher, Inc. ("RBC Dain Rauscher") was represented by Sandra S. Smalley, Esq,, of Lindquist & Vennum, LLP, Minneapolis, Minne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Susan W. Sharp Name of the Respondents: Prudential Securities, Inc. Eric R. Niison Case Number: 02-00119 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Susan W. Sharp hereinafter referred to as "Claimant": Donald R. Murphy, Esq., sole practitioner, Cleveland, OH. Respondents, Prudential Securities, Inc. ("Prudential") and

i NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02407 Wall Street Access, Claimant vs. Michael Stella, Respondent. ATTORNEYS: For Claimant appeared Denis P. Kelleher, Esq. of the firm Kelleher, Leone & Schwarts, LLP, New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay a debit balance created in the account from a liquidation in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00118 Robert B. Kennard Names of the Respondents Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. John M. Baine REPRESENTATION OF PARTIES Claimant Robert B. Kennard ("Claimant"): Gerald P. Greiman, Esquire, of Spencer, Fane, Britt & Browne, LLP, St. Louis, Missouri. Respondents A.G. Edwards & Sons, Inc. ("A.G. Edwards") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the riaimants Case Number; 02-00117 Ronald M. Freeman and Carol A. Freeman, Name nf the Respondents Hearing Site- Houston, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc., Peter S. Meyer, and Joe Guillory, PIT PAPTTFS Claimants, Ronald M. Freeman and Carol A. Freeman, hereinafter collectively referred to as "Claimants," were represented by Timothy M. McDani