Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin J. Agner, (Claimant) vs. H.C. Wainwright & Co., Inc., (Respondent) Case Number: 01-05865 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Benjamin J. Agner, hereinafter referred to as "Claimant": Peter S. Terris, Esq., Palmer & Dodge LLP, Boston, MA. Respondent, H.C. Wainwright & Co., Inc., hereinafter referred to as "Respondent": Christopher P. L

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bradley G. Piper and Bradley Exterminating Company, Inc. V. 01-05860 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc., Firstar Investment Services, Inc. n/k/a U.S. Bancorp Investments, Inc. and Karen M. Fetteriy f/k/a Karen M. Peterson REPRESENT ATTON OF PARTIES Bradley G. Piper and Bradley Exterminating Company, Inc. ("Claimants") were re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Restoration Trust 2, (Claimant) vs. Royal Alliance Associates, Inc., Luther Hanson, and Medallion Equities, Inc., (Respondents) vs. Medallion Equities, Inc. (Third-Party Respondent) Case Number: 01-05851 Hearing Site: Columbus, Ohio Claimant, Restoration Trust 2, hereinafter referred to as "Claimant": Daniel L. Holstein, Esq., Grafton Law Office, PLLC, Winfield, WV. Respondent, Roya

stipulated Award NASD pisputa Resolution In the Matter of the Arbitration Between: Arlene C. DevorlUn, Claimant Case Number- 03-07793 v. Merrill Lynch, Pierce, Fenner & Smith, Inc, and Hearing Site: Milwaukee, Wisconsin Jason S. Chemy, Respondents NATURE OF THgPISPUTg Customer vs. Member Firni and Associated Person REPRE8ENTATON OF PARTIES Arlene C. Devorldn ("Devorkin"), hereinafter referred to as "Claimanf: Andrew J. Stoltmann, Esq. of Sto

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05848 Ann McCutcheon Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Inc. For Ann McCutcheon, hereinafter referred to as "Claimant": C. Richard Mancini, Esq. and Christopher T. Vernon, Esq., Treiser, Collins & Vernon, Naples, Florida. For Prudential Securities, Inc., hereinafter referred to as "Respondent": Anne Bentley McCray,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Irene M. Hubbard, and Hubbard Family Trust, Claimants, v. No. 9S-05988 Robert S. Tryon, Barry R. Strauss, and Advantage Group, Respondents. REraESENTATinN OF PARTIES Claimants Irene M. Hubbard, individually and as trustee for the Hubbard Family Trust were represented by Robert D. Mitchell, Esquire of Law Offices of Robert D. Mitchell, P.C

AWARD NASD Regulation, Inc. Office of Dispute Resolution In tlie Matter of the Arbitration Between Terren G. Berg, Claimant, V. No. 93-05416 Hamilton Investments, Inc., Respondent. REPRESENTATION OF PARTIES For Claimant: Terren G. Berg ("Berg") was presented by Kathryn S. Matkov, Esq. of Gould & Ratner, located in Chicago, Illinois. For Respondent: Hamilton Investments, Inc. ("Hamilton") was represented by Rosemarie Guadnolo, Esq. of Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam* nf ty riflitnflnt r fl< f p N^ TntlRr; 01-05845 Harold G. Taylor Namf n f f h R P pgpnnHp^f Hearing Sitfv Dallas, Texas Edward D. Jones & Co.; and, Hollis Wayne Mitchell n Claimant Harold G. Taylor ("Taylor"), hereinafter referred to as "Claimant": Kurt Noell, Esq., located in Tyler, Texas. Respondents Edward D. Jones &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05836 Biran Sheehy and Laura Sheehy, claimants vs. Robert W. Baird & Co., Inc., and Tom Johnson, respondents. ATTORNEYS: For Claimants appeared Frank Viola, Esq., of the firm Viola, Beneditti & Azzolini, LLC, Florham Park, NJ. For Respondents appeared in-house counsel, Brian D. Trexell, Esq., Milwaukee, WI. DATE FILED: October 31, 2001 CASE SUMMARY: Claimant alleged that respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marrico Ceniccola, (Claimant) vs. Benson York Group, Inc. and Paul G. Caldera, (Respondents) Case Number: 01-05832 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Marrico Ceniccola, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufman, Feiner, Yamin, Gildin & Robbins LLP, New York, NY. Claimant originally appeared pro se. Respondents, Benso