Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Legg Mason Wood Walker, Inc. Name of the Respondent Brian Parker Name of the Third-Party Respondent Patrick J. Maroney Case Number: 05-01463 Hearing Site: Tampa, Florida Nature of the Dispute: Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Legg Mason Wood Walker, Inc., hereinafter referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Erwin J. Andersen Case No. 99-02230 Names of Respondents A.G. Edwards & Sons, Inc. Jack Webber Lantis REPRESENTATION OF PARTIES For Erwin J. Anderson, hereinafter referred to as "Claimant": W. Andrew Clayton, Jr., Esq. of the law firm of Wallace, Browning, Clayton & Krawetz, Sarasota, Florida. For A.G. Edwards & Sons, Inc. ("A.G. Edwards") and J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01318 Gus T. Skarlis Name of the Respondents Hearing Site: Chicago, Illinois Philip D. Roebuck; Equitrade Securities Corporation; Stephen H. Roebuck; and, Kim Sang Carroll NATURE OF THE DISPUTE Public Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Claimant Gus T. Skarlis, hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01215 Dominic Porcaro Name of the Respondent Hearing Site: Boca Raton, Florida Merrill, Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Dominic Porcaro, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Dobin & Jenks, LLP, Jupiter, Florida. For Merrill, Lynch, Pier

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neal Solomon (Claimant) v. Lincoln Investment Planning, Inc. and Edward Forst, Jr. (Respondents) Case Number: 05-00869 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Neal Solomon hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnenblick, Parker & Selvers, P.C., Fr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert J. Robinson, Sr. and Case Number: 05-00801 Hearing Site: Detroit, Michigan Respondents Pruco Securities, LLC, Prudential Insurance Company of America and Thomas L. Boyd NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Robert J. Robinson, Sr. ("Claimant") appeared pro se. Claimant was represented by David

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Barone, Alan Billings, Eugene Carfora, Coleman Christie, John Fuller, Margaret Fuller, Kevin Gilligan, Rudi Harbauer, Leo J. Hengstler, Craig Jeffrey, Peter Jenko, John Kamin, Kevin Kennedy, Kevin J. Krazit, Matthew Lancto, Roger Loughran, Barbara Loughran, William Loughran, Edward Maassmann, Gerald McCloskey, Michael McKeefrey, Otto Mermelstein, Tibor Mermelstein, Magda Mermelst

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ella Veverka and 05-00623 Chicago, Illinois Name of Respondents Securities America, Inc. Ronald A. Harczak Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ella Veverka ("Claimant") was represented by Edward A. Scott, ffl, Esq., Riffner, Barber Rowden & Manassa, P.C., Schaumburg, Illinois. Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Steele (Claimant) vs. Morgan Stanley Dean Witter (Respondent) Case Number: 05-00564 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Susan Steele hereinafter referred to as "Claimant": James M McCreedy, Esq., Wiley, Malehom & Sirota, Morristown, NJ. Respondent Morgan Stanley Dean Witter, Inc. hereinaft

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mike Small and 05-00464 Chicago, Illinois Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Mike Small ("Claimant") was represented by Erwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. Claimant was originally represented by Martin Q. Ryan, Esq. and Al