NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ray and Phyllis Fullerton TTEE FBO Ray and Phyllis Fullerton Family Trust, et al Claimant(s) vs. 90-00513 Prudential-Bache Securities, Inc. et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ray and Phyllis Fullerton TTEE FBO Ray and Phyllis Fullerton Family Trust, et al alleged that Respondent(s) Prudential-Bache

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03606 Annette N. Saunders Name of the Respondent Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Annette N. Saunders, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum & Silver, LLP, Coral Springs, Florida. For A.G. Edwards & Sons, In

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03825 S. Stephen Hetzler, (Claimant) vs. Hartford Life, Inc. and WM Financial Services, Inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Oakland, CA. For Respondent WM Financial Services, Inc. appeared Michael H. Gibson, Esq., of the firm Satterlee Stephens Burke & Burke LLP, New York, NY. Respondent Hartford Life, Inc. is not a member of the NASD and did not submit to arbitr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert M. Tully, (Claimant) vs. Advest, Inc. and Gary Halter, (Respondents) Case Number: 99-03438 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Robert M. Tully, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., a sole practitioner, Farmington, CT. Respondents, Advest, Inc. ("Advest") and Gary Halter ("Halter"), hereinafter collectivel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patrick T. Monaghan and Names of Respondents LH Ross & Company, Inc., Jeffrey S. Weick, Robert J. Vitale, Dean R. Baker and Franklyn R. Michelin Case Number: 05-03618 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customer v. Terminated Member Firm and Associated Persons REPRESENTATION OF PARTIES Patrick T. Monaghan ("Claimant") was

Award NASD Dispute Resolution William E. Copley and Gertrude H. Copley vs. Wilmington Brokerage Services Company Case Number: 05-06633 Hearing Site: Wilmington, Delaware Nature of the Dispute: Customers vs. Member. RFPRESENTATION OF PARTIES Claimants, William E. Copley and Gertrude H. Copley, hereinafter collectively referred to as "Claimants", were represented by Debra G. Speyer, Esq., Attorney at Law, Philadelphia, Pennsylvania. Respondent, Wilmin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated, Claimant v. John B. Stutz, Respondent Case Number: 05-06618 Hearing Site: Los Angeles. California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: David W. Schmidt, Esq. Lubiner & Schmidt Cranford, New Jersey CASE INFORMATION Statement of Claim filed: Dec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bryan Silagy, Claimant v. Woodbury Financial Services, Inc. (f/k/a Amev Investors, Inc., Fortis Investors, Inc, and St. Paul Investors, Inc.), Respondent Case Number: 05-06582 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Timothy D. Murphy, Esq. Law Offices of James Jay Seltze

Award NASD Dio^uie Resolution In the Matter of the Arbitration Between: Robert S. Mandra (Claimant) vs. Greenwich Technology Advisors, Paul MeJean, and Kevin Slocum (Respondents) Case Number: 05-06349 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Robert S. Mandra hereinafter referred to as "Claimant": Pearl Zuchlewski, Esq., Kraus & Zuchlewski LLP, New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patrick Coyne d/b/a Coyne Contracting, Claimants, v. Edward D. Jones & Co. and Rick Duncan, Respondents. Case Number: 05-06330 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Patrick Coyne d/b/a Coyne Contracting ("Coyne"), hereinafter referred to as "Claimant": Steven W. Koslovsky, Esq.