Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02803 Elizabeth S. Hevey and Denis Hevey Name of the Respondent Hearing Site: Raleigh, North Carolina A.G Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elizabeth S. Hevey (E. Hevey) and Denis Hevey (D. Hevey), hereinafter collectively referred to as "Claimants": Bruce D. Oakes, Esq., Simm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07639 Kenneth W. Mastrilli Names of the Respondents Hearing Site: Tampa, Florida Josephthal & Co., Inc. Spenser Trask Ventures, Inc. Amir Sadighi Adam Stern William Ebert, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kenneth W. Mastrilli, hereinafter referred to as "Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Hain.es Claimant(s) vs. 89-03345 Greentree Securities f/k/a Brooks, Weinger, Robbins & Leeds Respondents) NOTICE OP ARBITRATION AWARD •- CASE SUMMARY - •", Claimant(s) Robert Haines alleged that Respondent(STJ • Securities f/k/a Brooks, Weinger, Robbins & Leeds pressured Claimant to purchase securities at excessive prices and re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas A. Huson vs. Case Number: 05-06715 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc. and Mark G. Holcomb NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas A. Huson ("Claimant") was represented by Robert R. Kramer, Esq., Pittsburgh, Penns

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Omar O. Ghoweri Case Number 01-04199 Name nf fhe Respondent TD Waterhouse Investor Services, Inc. Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTTF.S Claimant Omar O. Ghoweri, hereinafter referred to as "Claimant" was Pro Se. Respondent TD Waterhouse Investor Services, Inc., hereinafter referred to as "Respondent" was repr

NASD Regulation, Inc., Award In the Matter of Arbitration Between Herschel Issakharian, Claimant, and No. 97-02241 Steve Lundquist and Piper Jaffray, Inc., Respondents. REPRESENTATION OF PARTIES Claimant, Herschel Issakharian ("Issakharian") was represented by Dawson French, Esquire of French & Hamilton located in Dallas, Texas. Respondents, Steve Lundquist ("Lundquist") and Piper Jaffray, Inc., ("Piper Jaffray") were represented by Bria

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert L. Schott Trust & Lillian Schott, (Claimants) vs. James R. Jansson and Everen Securities (Respondents). Case Number: 99-3565 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants. Robert L. Schott Trust and Lillian Schott ("Claimants"): Adam P. Stapen, Esq., Dill Dill Carr Stonbraker & Hutchings P.C., located in Denver, Colorado. Respondents, James R. Janss

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Raymond James & Associates, Inc. pf Rp^pnpdent/Coiinter-ClaJmant/TViirH-Parfy riaimant Case No. 99-05578 Indianapolis, Indiana Lisa Corbit Name O T- James L. Oxley RFPRFSFNTATTOTV OF PARTTFS Claimant/Counter-Respondent Raymond James & Associates, Inc. ("Raymond James") and Third- Party Respondent James L. Oxley ("Oxley") were represented by Richard W. Paige

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michelle Saponaro and Nicole Saponaro 94-01491 Name of Respondents John Hancock Distributors, Inc. John Hancock Mutual Life Insurance Co. Paul G. Schenk REPRESENTATION Claimants Michelle and Nicole Saponaro ("Claimants") were represented by Paula D. Shaffner, Esq. and Paul C. Madden, Esq., Saul Ewing Remick & Saul, Phi

MATTONAf. ASSOCIATION Of SECURITIES DEALERS INC. IN THI ; : MATTER OF THE ARBITRATION BETWEEN: Ann Stout Claimant #90-00308 William Marshall Respondent AWARD CASE SUMMARY Claimant alleges that the Respondent made unsuitable investments in limited partnerships, and further that she was not advised of the risks of her investments. She asserts that the Respondent improperly persuaded her to remortgage her home in order to obtain the