Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Judy H. Coleman Case Number: 03-06475 Names of the Respondents SouthTrust Securities, Inc. First Union Brokerage Services, Inc. Scott A. McQuilken Douglas Smith BB&T Investment Services, Inc. Stephen R. Sturkie BB&T Corporation SouthTrust Bank First Union Corporation Hearing Site: Charlotte, North Carolina Nature of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Karl E. Mattson Mary P. Mattson Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Peter J. Russo, Jr. Case Number: 03-05960 Hearing Site: Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Karl E. Mattson and Mary P. Mattson, hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sami Abdelmassia (Claimant) v. Merrill Lynch, Pierce, Fehner and Smith, Inc., and Gershpn W. Trimpol (Respondents) Case Number: 03-05226 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Sami Abdelmassia hereinafter referred to as "Claimant": Theodore M. Davis, Esq., The Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01957 Philip D. Kaltenbacher Names of the Respondents Hearing Site: Tampa, Florida Morgan Keegan & Company, Inc. Richard Angelotti Edward Rosenberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Philip D. Kaltenbacher, hereinafter referred to as "Claimant": Steven D. Mutton, Esq., L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02319 Bruce M. Denkert, as Trustee for the Bruce M. Denkert Revocable Trust Names of the Respondents Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner& Smith, Inc. Richard C. Emerson Danny Andrew Waller, II Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Bruce M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Mohammed Al Nasser (Claimant) v. Sands Brothers & Co., Ltd., Sands Brothers Asset Management, Ltd., Sands Brothers Venture Capital III, LLC, Sands Brothers Asset Management, LLC, Martin Scott Sands, Steven Brett Sands, Christopher Lee, Robert Grille, George Gleusner, Glen Mckelvy and Moshe Silver (Respondents) Case Number: 03-04754 Hearing Site: New York, New York Natu

N.A.S.D. REGULATION FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Gregory B. Norris 96-03933 Name of Respondents Salomon Brothers V^set Management, Inc. Robert Schmidt REPRESENTATION Claimant Gregory B. Norris' ("Norris") documents were submitted by his representative John Lanekanu, Esq. of the law firm Lanekanu Kovner & Kurtz, LLP located in New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Fuchs, (Claimant) vs. Legg Mason Wood Walker, Incorporated, (Respondent) Case Number: 01-02368 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Fuchs, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Attorney at Law, Morristown, NJ. Claimant originally appeared pro se. Respondent, Legg Mason Wood Walker, Incorporated, hereinafter r

N.A.S.D. AWARD NATTDNAT. ASSnTIATTON DP SPnTRTTTPS In the matter of the Arbitration Between Napie of (Claimant Vilma Turner NASD Arbitration No. 954)1552 Name of Respondents Smith Barney Shearson, Inc. and William P. Farrand RRPRF.SF1VTATTON For Claimant: Edward T. Swanson, Esq. Swanson & Meepos Santa Monica, California For Respondent: Sean J. Coughlin Smith Barney Shearson, Inc. New York, New York TASF INFORMATION St

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Mary M.Johnston v. 05-03127 Louisville, Kentucky Respondents A.G. Edwards & Sons, Inc., and Byron Holley NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Mary M. Johnston ("Claimant") was represented by Edward J. Dovin, Esq., of Dovin Malkin & Ficken, LLC, Atlanta, Georgia. A.G. Edwards & Sons, Inc. ("AGE") and Byro