Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jose Maria Pascual (Claimant) v. Prudential Equity Group, Inc., Wachovia Securities, LLC, and Prudential Securities, Inc., A Division of Wachovia Securities, LLC (Respondents) Case Number: 03-05596 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Non-Member. REPRESENTATION OF PARTIES Claimant Jose Maria Pascual ("Pascual") hereinafter referred to as "

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Case Number: 03-05589 ERIC P. AND DORIS KOACH, Hearing Site: Houston, Texas and Names of Respondents WACHOVIA SECURITIES LLC, formerly known as WACHOVIA SECURITIES, INC. and RAYMOND C. GIBSON NATURE OF DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF THE PARTIES Doris and Eric Koach, ("Claimants") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf flip riaiififirftg Past* TsJurnhp-r- 03-05587 James D. and Roberta S. Tipton H^flring Sit?' Dallas, Texas Edward D. Jones & Co., L.P. and Michael Raymond Kamel OT7 TTTF Public Customer v. Member Firm and Associated Person Claimants James D. and Roberta S. Tipton, hereinafter collectively referred to as "Claimants": Steven J. Berry, Esq. of the firm of Wright & Berry

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Walter E. Cubberly, 111 and Rebecca D. Cubberly vs. Case Number: 03-05585 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and John B. Zodrow NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Walter E. Cubberly, III and Rebecca D. Cubberly ("Clai

Award NASD In the Matter of the Arbitration Between: Name of Claimant Denise Hopkins Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 01-01596 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Denise Hopkins, hereinafter referred to as "Claimant": Glen R. Galbraith, Esq., Seale Daigle & Ross, L.L.C., Hammond, LA. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter referred to as "Respondent": Mathew R. Salamon, Liti

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sharon B. Ellis Names of the Respondents Morgan Keegan & Company, Inc. Tommy Ray Cockrell Case Number: 03-05575 Hearing Site: New Orleans, Louisiana Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sharon B. Ellis, hereinafter referred'to as "Claimant": Robert S. Moraff, Esq., Law Offices of Robe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Tissue (Claimant) v. S.G. Cowen Securities Corp. and Lehman Brothers, Inc. (Respondents) Case Number: 03-05569 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant David A. Tissue ("Tissue") hereinafter referred to as "Claimant": Brian P. Biggins, Esq., Brian P. Biggins & Associates Co., L.P.A., Rocky River, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Westrock Advisors, Inc. (Claimant) v. Mitchell Toland (Respondent) Case Number: 03-05565 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Westrock Advisors, Inc. ("Westrock") hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY. Respondent Mitche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Wood and Jean Wood (Claimants) v. McDonald Investments, Inc. and Ward Caldbick (Respondents) Case Number: 03-05559 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Barry Wood ("B. Wood") and Jean Wood ("J. Wood") hereinafter collectively referred to as "Claimants": Joanne Schultz, Esq., Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernadette Flory (Claimant) v. Edward D. Jones & Co., L.P. (Respondent) Case Number: 03-05558 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Bernadette Flory ("Flory") hereinafter referred to as "Clain Esq., Winstead Sechrest & Minick, P.C., Dallas, TX. ant": John P. Kincade, Respondent Edward D. Jones &