Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ward Insurance Company, Ltd., and Familia Primera, L.P., Claimants v. Jamie L. Solow, Dennis D. Bailey, John D. Webberly, JLS Financial Investment Corp. and SAMCO Financial Services, Inc., Respondents Jamie L. Solow. Cross-Claimant v. SAMCO Financial Services, Inc., John D. Webberly and Dennis D. Bailey, Cross-Respondents SAMCO Financial Services, Inc., Cross-Claimant v. Jamie L. So

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daniel J. Williamson and Fiji Enterprises, Claimants v. Pellett Investments, Inc., Ronald Neil Pellett, and Neil David Silver. Respondents. Case Number: 98-04902 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent: Neil David Silver: Edward S. Gelfand Gartenberg, Jaffe, Gelfand & Stein, LLP Los Angeles, California Danie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Martin Bellsey Case No. 99-05386 James Dwight McDonald REPRESENTATION OF PARTIES For Martin Bellsey: Albert A. Rapoport, Esq., Boca Raton, Florida. For James Dwight McDonald: Dehner C. Gowing, III, Esq., Delray Beach, Florida. CASE INFORMATION Statement of Claim filed on or about: November 27, 1999. Claimant signed the Uniform Submission Agreeme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Windecker, IRA, Windecker Family Tmst UA 05/22/90, and Claudette P. Windecker IRA, Claimant v. TD Ameritrade, Inc., LInsco/Private Ledger Corp., George P. McCuen, McCuen Investment Group, SSS&A, Inc. Investment Advisors, and ATEL Securities Corporation, Respondents Case Number: 05-06613 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Members, Assoc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eileen Henke vs. Names of Respondents UMB Scout Brokerage Services, Inc. and Mark W. Hams Case Number: 06-00930 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Eileen Henke ("Claimant") was represented by Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, Illin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary A. Hardy vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith incorporated and James M. MacLachlan Case Number 06-01560 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mary A. Hardy ("Claimant") was represented by Mark Hunting, Esq., Miller Johnson, Gr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Clainfiant Rosemary Lyon vs. Name of Respondent Raymond James & Associates, inc. Case Number: 06-03601 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Rosemary Lyon ("Claimant") was represented by Anthony V. Trogan, Jr., Esq., Anthony V. Trogan, P.L.L.C, West Bloomfield, Michigan. Raymond Jame

Award NASD Dispute Resolution, Inc. !n the Matter of the Arbitration Between Names of Claimants Sidney and Leah Nickin Case No. 99-03728 Names of Respondents Ryan, Beck & Go. Michael Varajon REPRESENTATION OF PARTIES For Sidney and Leah Nickin, hereinafter also collectively referred to as "Claimants": Robert Wayne Pearce, Esq., Boca Raton, Florida and Debra Ribitwer, Esq., Birmingham, Michigan. For Ryan Beck & Co. ("Ryan Beck") and Micha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03321 The Chris C. Noel Trust, UDO 6/3/88 Jess J. Waguespack, Administrative Trustee Name of the Respondent Hearing Site: New Orleans, Louisiana Capital One Investments, LLC (Formerly Hibemia Investments, L.L.C.) Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For The Chris C. Noel Trust, UDO 6/3/88, Jess J. Wagu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ronald G. Kelley vs. Name of Respondent Ameriprise Financial Services Case Number: 06-01728 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ronald G. Kelley ("Kelley" or "Claimant") was represented by Michael L. Einterz, Esq., Einterz & Einterz, Indianapolis, Indiana. Ameriprise Fina