Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07418 Elliott B.Stoll and Vivian J. Stoll JTTEN Names of the Respondents Hearing Site: Boca Raton, Florida Stephen R. Unger and Morgan Stanley D W, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elliott B. Stoll and Vivian J. Stoll JTTEN, hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ; 03-07414 William Clinton Ray, Jr. i nf thrt RftgpnnHiqnta Hearing Rite* Raleigh, North Carolina Merrill Lynch Pierce Fenner & Smith Inc. Christopher Nelson Bunn Ronald Hunter Grove Nature of the Dispute: Customer vs. Member and Associated Persons. ttF.PPF.Sff.NTATfON Off PAHTTttS Claimant, hereinafter referred to as "Claimant", was represented by Carrie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne M. Chuilli (Claimant) v. North Ridge Securities Corp. and Jeffrey C. Lewis (Respondents) Case Number: 03-07411 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anne M. Chuilli ("Chuilli") hereinafter referred to as "Claimant": Howard W. Hirschhoru, CPA, Matawan, NJ. Respondents North Ridge

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant JAMES M. POINDEXTER and No. 03-07410 Phoenix, Arizona Name of Respondents PRUCO SECURITIES CORPORATION (CRD 5685) THE PRUDENTIAL INSURANCE COMPANY OF AMERICA Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES JAMES M. POINDEXTER ("Claimant") was represented by Loren I. Thorson, Esq., STEGALL, KATZ & WfflTAKER, P.C., 531

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Continental Broker-Dealer Corp. (Claimant) v. GunnAllen Financial, Inc. Jennifer Banchs, Jaime Diaz, Chris Russo, Paul Ellson, Nick Harrison, Mohammed Sheikh, Facundo Rawson, Carlos Bonilla, Vineet Goyal, Pushpinder Jassal, Roberto Cavalier, and David Rincon (Respondents/Third-Party Claimants) v. Continental Broker-Dealer Corp., Gregory Hasho, Edward Goetz, Mark Goetz, and Ad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tiie Arbitration Between Name of Claimants Gerald T. and Gloria J. Koenig 94-05581 Name of Respondents John G. Kimiard and Company, Inc. Frank E. Blake CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 29, 1994, Claimants Gerald T. and Gloria J. Koenig ("Claimants"), who appeared Pro Se, alleged that Respondent John G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eduard Leytman (Claimant) v. Max International Broker-Dealer Corp. and David Isolano (Respondents) Case Number: 03-07400 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Eduard Leytman ("Leytman") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Timothy F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07399 Idle M. Kerr, IRA, Claimant v. David Paul Lojpersberger and Matthew Jerry Melendy, Respondents. ATTORNEYS: Claimant, Idie M. Kerr, IRA, ("Claimant"), appeared through her daughter, Judith D, Kerr, New Smyrna Beach, FL. Respondents, David Paul Lojpersberger and Matthew Jerry Melendez, ("Respondents"), appeared through their in-house counsel, Mildred M. McLaney, Esq., Prudential Equi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene A. Gross and Joan C. Gross (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Robert Shannon, Russell Smith, and Chad Forrest (Respondents) Case Number: 03-07398 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Eugene A. Gross ("E. Gross") and Joan C. Gross ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey Bollman, Claimant vs. Fletcher & Faraday, Inc., Ben Wilson. Paul McGlyn, Kirk Graham, and Yury Sapir, Respondents Case Number: 00-01535 Hearing Site: Indianapolis. Indiana REPRESENTATION Off PARTIES Claimant Jeffrey Bollman ("Boilman") was represented by Andrew Stohman, Esq. of the firm of Maddox Koeller Hargett & Caruso located in Indianapolis, Indiana. Re