Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00731 Janet Blouin Name of Respondent Hearing Site: New Orleans, Louisiana Ameritrade, Inc. n/k/a J. P. Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Janet Blouin appeared pro se. For Ameritrade, Inc. n/k/a J.P. Securities, Inc. ("Ameritrade"), hereinafter referred to as "Responden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00532 Stephens, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee John Ballard Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stephens Inc., hereinafter referred to as "Claimant": Jana Kim Keller, Esq., Associate General Counsel, Stephens, Inc., Little Rock, Arkansas. John Ball

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05240 James G. Stahl Name of the Respondent Hearing Site: Baltimore, Maryland Ferris Baker Watts, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For James G. Stahl, hereinafter referred to as "Claimant": Edward C. Grassland, Esq., Grassland & Speis, LLC, Cumberland, Maryland. For Ferris Baker Watts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gemini Systems Corporation N.V. Names of the Respondents Citigroup Global Markets, Inc. Maura G. McGourty-Poiesz Kenneth H. Malloy Michael Marchassalla Case Number: 05-05237 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gemini Systems Corporation N.V., her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03136 Jewel Cody Drinkard Names of Respondents Hearing Site: Charlotte, North Carolina AXA Advisors, LLC Kelly Gene Burke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jewel Cody Drinkard, hereinafter referred to as "Claimant": David Scott Drinkard, Sr., Charlotte, North Carolina.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01878 Kelley Rand The Kelley Rand IRA The Kelley H. Rand Roth IRA and Pink Peony, Inc. Names of the Respondents Hearing Site: New Orleans, Louisiana Chicago Investment Group, L.L.C. George E. Reilly and Michael A. Kalfa Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution C. Warren Jenkins v. Legacy Financial Services, Inc. and Joseph R. Karsner, IV Case Number: 05-00940 Hearing Site: Washington, DC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, C. Warren Jenkins, hereinafter referred to as "Claimant", was represented by William B. Young, Jr., Esq., Hooper & Weiss, L.L.C., Orlando, Florida. Respondents Joseph R. Karsner, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Shirley A. Locklair Names of the Respondents Legacy Financial Services, Inc. Joseph Karsner Case Number: 04-06796 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shirley A. Locklair, hereinafter referred to as "Claimant": William B. Young, Esq., H

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03141 Richard D. Koehler, Jr. Echo Financial, L.C., a Florida corporation Hearing Site: Tampa, Florida vs. Names of the Respondents FSC Securities Corporation, Richard Husarek, Bernie Markowitz, Douglas Beaudoin, Reed N. Lengel, Phil Freeman HI and Joseph Catania Names of the Cross-Claimants, Counter-Claimants, and Third Party Claimants Ric

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John W. Mehlhouse and Margaret E. Mehlhouse and 00-00949 Minneapolis, Minnesota Name of Respondent U.S. Bancorp Piper Jaffray, Inc. REPRESENTATION OF PARTIES John W. Mehlhouse and Margaret E. Mehlhouse ("Claimants") were represented by Donald H. Walser, Esq., Kraft, Walser, Hettig & Honsey, PLLP, Hutchinson, Minnesota. U.S. Bancorp Piper Jaffray