Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Baecht, and The Estate of Bradley Baecht (Claimants) v. Linsco Private Ledger Corp. and Linda Louise Borst (Respondents) Case Number: 03-05707 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Barbara Baecht ("Baecht"), individually and as Executrix of the Estate of Bradley Bae

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05704 Harley J. Hanes, IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant, Harley J. Hanes, IRA, ("Claimant"), appeared Win. Jemison Minis, Jr. Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner, Proctor, PA. Pensacola, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared R. Allen Kilgore, Jr., Esq., o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terrence L. McCrary, (Claimant) vs. The Camelot Group, Inc. and Robert R. Beuret, (Respondents) Case Number: 01-01606 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Terrence L. McCrary, hereinafter referred to as "Claimant", appeared pro se. Respondent, The Camelot Group, Inc. ("Camelot"): Robert R. Beuret, Vice Chairman, The Camelot Group, Inc., Fort

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05699 Richard C. Cardone Names of the Respondents Hearing Site: New York, New York Morgan Stanley DW Inc. James Brooks Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF THE PARTIES Richard C. Cardone ("Cardone"), hereinafter referred to as "Claimant": Marcia L. Adelson, Esq., Tarrytown, NY.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Joseph C. Huttemann rasft Number- 03-05696 Names nf the Respondents Janney Montgomery Scott, LLC James McAfee ring Site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTTTCS Claimant, Joseph C. Huttemann, hereinafter referred to as "Claimant", was represented by Steven

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Macy Moret Jennie Moret Name of the Respondent Wachovia Securities, Inc. for itself and as successor by merger to First Union Brokerage Services, Inc. Case Number: 03-05692 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Macy Moret and Jennie Moret, hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05690 Catherine Cox Joseph Del Campo Names of the Respondents Hearing Site: Boca Raton, Florida Edward Jones & Co. Bruce Kallor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Catherine Cox and Joseph Del Campo, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Robert N. Bonner vs. 03-05689 Nashville, Tennessee Respondents CUNA Brokerage Services, Inc., and UVEST Financial Services Group Nature of the Dispute: Customer vs. Member Firms REPRESENTATION OF PARTIES Robert N. Bonner ("Claimant") was represented by John B. Veach, HI, Esq., Falls & Veach, Asheville, North Carolina. CUNA Brokerage Services, Inc. ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05688 Mel Pearlman Susan Pearlman Name of the Respondent Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mel Pearlman and Susan Pearlman, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq., Law Offices o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Craig Mallder, H. Craig Mallder Revocable Trust, H. Craig Mallder IRA, Dorothy T. Mallder, and Dorothy T. Mallder Revocable Trust, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 03-05682 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Dennis H. Taylor, Esq. Shepherd, Smith & Rebel Hous