Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant George Gillespie Case Nnrnhfa-- 03-08495 Names r>f the Respondents Wachovia Securities, LLC Michael King Hearing Site- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimant, George Gillespie ("Gillespie"), hereinafter referred to as "Claimant", was represented by Avery B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Daniel F. DeCaio Names of the Rt sponHents Merrill Lynch, Fierce, Fenner & Smith, Inc. James T. Montg ornery Kirk Thrush r 03-08494 Site- Baltimore, MD Nature of the D spute: Customer vs. Member and Associated Persons, RFPRFSFNTATION OF PARTTF.S Claimant, Danit 1 F. DeCaro, hereinafter referred to as "Claimant", was represented by George

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edward C.Balog Names of the Respondents ABN AMRO Financial Services, Inc. ABN AMRO Mortgage Group, Inc. Case Number: 03-08491 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Edward C. Balog, hereinafter referred to as "Claimant": Scott R. Shepherd, Esq., James E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gene E. Burga, Individually and on behalf of NFS/FMTC Rollover IRA FBO Gene E. Burga (Claimants) v. The Huntington Investment Company and Julie Pretorius Gift (Respondents) Case Number: 03-08490 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gene E. Burga, Individually and on behalf of NFS/FMTC Rollo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-8489 Judy L. Bailey, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Judy L. Bailey, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Scott B. Brown, Esq., of the firm Ma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01676 Wolos Incorporated, claimant vs. Dirks & Company, Inc., and U.S. Clearing Corp. a/k/a Fleet Securities, Inc., respondents. ATTORNEYS: Claimant Wolos Incorporated appeared Pro Se through its Vice President, George Solow, New York, NY. For Respondent Dirks & Company, Inc., appeared Robert L. Goss, President, New York, NY. For Respondent U.S. Clearing Corp. a/k/a Fleet Securitie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08487 Steven L. Johnson 401K, Claimant v. Fidelity Investments Institutional Operations Company, Inc., Respondent. ATTORNEYS: Claimant, Steven L. Johnson 401K, ("Claimant"), appeared pro se, Minneapolis, MN. For Respondent, Fidelity Investments Institutional Operations Company, Inc., ("Respondent"), appeared Michael A. Duran, Esq., of the firm Jenkins & Gilchrist, Dallas, TX. NATURE OF D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pan-American Financial Advisers Name of the Respondent John L. Simpson Case Number: 03-08486 Hearing Site: New Orleans, LA Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Pan-American Financial Advisers ("Pan-American"), hereinafter referred to as "Claimant": Daniel LaGrone, Esq., Counsel, Pan-American, New Orle

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roxie Carter, Claimant v. FSC Securities Corporation and Frank A. Cuenca d/b/a The Retirement Group, Respondents Case Number: 03-08485 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Daniel J. Kessler, Esq. M. Michelle RohanL Esq. Burkhalter, Michaels, Kesster & Georg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08484 Franklin Martin, Jr., Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Respondent. ATTORNEYS: For Claimant, Franklin Martin, Jr., ("Claimant"), appeared Stuart D. Meissner, Esq., of the Law Offices of Stuart D. Meissner, LLC, New York, NY. For Respondent, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., ("Respondent"), appeared their in-h