AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Thomas W. Grote, Mark Tauzin. and Randy J. Landry, Claimants. Merrill Lynch. Pierce. Fenner & Smith. Inc.. Respondent. No. 97-00182 REPRESENTATION OF PARTIES Claimants Thomas W. Grote. Mark Tuuzin, and Randy J. Landry ("Claimants") were represented by Daniel C, Hughes, Esq. oi" Lafayette. Louisiana. Respondent Merrifl Lynch. Pierce.

NASD Rl-CiULATlON. INC. AWARD In ihe Matter of the Arbitration Between Name of Claimant PaineVVenher, Inc. Case No. 47-001 SI vs. Name of Respondent William T. Kahl RErRKSENTATION I or Claimant Paine Webber. Inc. (" Claimant ") appeared Michael O'l.cary. Hsq. of the firm PaineWehber. Inc. located in Wechawken. New Jersey. Respondent William T. Kahl ("Respondent"* appeared pro so. Statement ol" Claim filed on: January (IK. 1997. C

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant 97-00178 Raymond James & Associates, Inc. Name of Respondent Brian J. Herskovitz REPRESENTATION OF PARTIES For Claimant Raymond James & Associates, Inc. {"RJA"); Joseph A. Vallo, Esq., Fort Lauderdale, Florida and New York, Mew York. Respondent Brian J. Herskovitz appeared pro §g, CASE Statement of Claim was filed on Jan

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Weide Chen vs. Case No. 97-00177 Name of Respondents J.W. Charles Securities, Inc. The Stamford Company Henry Miao REPRESENTATION Claimant Weide Chen ("Claimant") appeared pro se. Claimant withdrew his claims against Respondent J.W. Charles Securities, Inc. ("J.W. Charles"). Therefore, no representative appeared at the hearing on behalf of J.W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-09075 Sandra Gunter Names of the Respondents Hearing Site: New Orleans, LA Hancock Investment Services, Inc. Linda Byrne Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandra Gunter, hereinafter referred to as "Claimant": Sidney W. Jackson, III, Esq., Jackson, Foster & Graham, L.L.C., M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark A. Latina, M.D. and Sally O. Latina, Sally O. Latina, Sally O. Latina Cust Jacqueline Latina UTMA MA, Mark A. Latina Cust Christopher Latina UTMA MA (Claimants) v. Femi Shote and New England Financial d/b/a New England Securities, Inc. (Respondents) Case Number: 03-09073 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Associated Person and Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Raymond W. O'Brien Names of the Respondents Citigroup Global Markets, Inc. Jack B. Grubman Barry Edward Lipman Case Nnmher: 03-09068 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer v. Member and Associated Persons. RF.PRF.SF.NTATTON OF PARTTFS Claimant, Raymond W. O'Brien, hereinafter referred to as "Claimant*', was repr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-09064 John H. Cierski, Claimant v. William D. McCabe III, Respondent. ATTORNEYS: Claimant, John H. Cierski, ("Claimant"), appeared pro se, Setauket, NY. Respondent, William D. McCabe III, ("Respondent"), appeared pro se, Long Beach, NY, NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: December 23, 2003 CASE SUMMARY: Claimant alleged that Respondent failed to repay ha

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Terri Neff v. 03-09059 Minneapolis, Minnesota Respondents Piper Jaffray & Co. and Terry L. Millner Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Terry Neff ("Claimant") was represented by Irvin B. Nodland, Esq., The Nodland Law Office, Bismarck, North Dakota. Piper Jaffray & Co. ("Piper Jaffray") and Terry L. Millner (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Holly C. Clark, Claimant vs. Hung H. Nguyen, Henry Fahman, Alex Nguyen and Providential Securities, Inc., Respondents. Case Number: 00-01727 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES For Claimant: Holly C. Clark For Respondents: Hung H. (Tony) Nguyen Henry Fahman and Providential Securities, Inc. Alex Nguyen Cecil B. Strange Attorney