NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter Key Chong and vs. Arthur Chow Corp. of the Arbitration Between i Chuen and King Chong | Claiinant(s) | Q&R Clearing Respondent(s} 1 ARARD 88-00383 The Arbitrator/ Andrew Reegen, Esq/ having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents r set forth in a submission to arbitration signed by th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06932 David W. Shields Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. B. Lance Carpenter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David W. Shields, hereinafter referred to as "Claimant": Henry D. Fellows, Esq. and Shattuck Ely, Esq., Fellows, Joh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Oasfi Number 03-06924 William and Jodi DePhillipo Names nf the Respondents Hftarmg; Site- Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Francis J. Hoey The Hoey Group Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants, William and Jodi DePhillipo, hereinafter co

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carmine A. Cilella, M.D. vs. Case Number: 03-06923 Hearing Site: Chicago, Illinois Names of Respondents Morgan Stanley DW Inc., and James P. Lynch NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Carmine A. Cilella, M.D., ("Claimant") was represented by Leslie A. Blau, Esq., Blau & Bonavich, Chi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06920 Anthony B. Jeffries, as Trustee of the Anthony B. Jeffries Profit Sharing and Money Purchase Plan and the Koeber Insurance Trust Name of the Respondents Hearing Site: Albuquerque, New Mexico Merrill Lynch Pierce Fenner& Smith, Inc. Customer vs. Member Firm Clinton W. Marrs, Esq. of the law firm Vogel Campbell & Blueber, P.C., locate

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., Claimant v. James F. Kwei, Respondent Case Number: 03-06917 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian D. Todd, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: Arthur S. Leider Investors Arbitration Specialists San Di

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06904 Emii Feldman, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Emil Feldman ("Claimant") appeared WM. Jemison Mims, Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Thomas P. Wilson, Esq., of the firm Sutherland, Asb

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc., Claimant v. Young M. Chung, Respondent Case Number: 03-06901 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: John R. St. John, Esq. St. John, Wallace, Brennan & Folan, LLP Torrance, California For Respondent: Young M. Chung In Pro Per Carlsbad, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Will Cordery, Respondent Case Number: 03-06898 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Eric D. Lansverk, Esq. Brian D. Todd, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Will Corde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01493 Geoff Carr, claimant vs. Bear Stearns & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Marshfield, MA. For Respondent appeared Steven A. Horowitz, Esq., in-house counsel, New York, NY. DATE FILED: April 8, 2000 CASE SUMMARY: Claimant alleged that as a result of respondent's inability to process a sell order, he incurred a financial loss. Claimant further alleged that r