Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01968 Joseph Palasek, individually and On behalf of his IRA Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Joseph Palasek, individually and on behalf of his IRA, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00112 Doyle Miller Clayton Parker Jerry Preuit Onnis Terry Don White Richard Dubbs Names of the Respondents Hearing Site: Birmingham, Alabama Avalon Investment & Securities Group, Inc. Allmerica Financial Life Insurance and Annuity Company William J. Bohannon Nature of the Dispute: Customer vs. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00069 Shelley C. Rountree, Individually and in her Capacity as Assignee of the Estate of Robert Barnes Rountree, Sr. Names of the Respondents Hearing Site: Atlanta, Georgia Robert Barnes Rountree, Jr. Sarah Rountree Long William D. Rountree Charles Schwab & Co., Inc. Cross Claim Respondents Robert Barnes Rountree, Jr. Sara

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06672 Georgia Capital Partners, Inc., dba Traders Advantage North American Clearing, Inc. Name of the Respondent Hearing Site: Orlando, Florida Dr. Kenneth J. Pujdak Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Georgia Capital Partners, Inc., dba Traders Advantage ("GCP") and North Americ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03824 Bruce Zipper Name of the Respondent Hearing Site: Boca Raton, Florida Sterling Financial Investment Group, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Bruce Zipper, hereinafter referred to as "Claimant", appeared pro se. For Sterling Financial Investment Group, Inc., hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03229 Jack T. Cartwright Names of the Respondents Hearing Site: Orlando, FL A.G. Edwards & Sons, Inc. Roxbury Capital Management, LLC Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jack T. Cartwright, hereinafter referred to as "Claimant": Robert E. Austin, Jr., Esq., Law Offices of Robert E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Cooper") and Mary R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 04-07188 Morgan Stanley DW, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Michael E. Blankenship Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley DW, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fisher, Ltd., Chicago, Illinois. For Michael E. Bl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06795 Beverly R. Bamhart Names of the Respondents Hearing Site: Washington, D.C. Legacy Financial Services, Inc. Joseph R. Karsner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Beverly R. Barnhart, hereinafter referred to as "Claimant", was represented by William B. Yo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05484 Marilyn D. Bull as Trustee of the Clive A. Bull Revocable Trust DTD July 13, 1995 Marilyn D. Bull, Individually Names of Respondents Hearing Site: Tampa, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Marvin L. Anderson Douglas Eric Haas Nature of the Dispute: Customer vs. Member and Associated Pers