Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimants Case Number- 03-03537 Frederick and Dorothy Myers Name of tin? Respondents Hearing Site- Philadelphia, PA American Express Financial Advisors, Inc. Thomas Robbins Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFNTATION OF PARTTFS Claimants, Frederick and Dorothy Meyers, hereinafter collectively referred to as "Claimants", w

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Earl R. Ehlers and Susan Ehlers and Case Number: 03-03535 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., John Desenberg, Julius Desenberg, The Desenberg Group, and J. Michael Woodlock NATURE OF CASE Customers v. Member Firm and Associated Persons REPRESENTATION OF PARTIES Earl R.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant John Dale ( and Case Number: 03-03531 Hearing Site: Troy, Michigan Names of Respondents 1 1 Dominion Investor Services, Inc. Kathy L. Colby and Financial v Independents, Inc. , NATURE OF DISPUTE Customer v. Member, Associated Person and Non-Member 1 i REPRESENTATION OF PARTIES John Dale ("Claimant") was represented by A

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-01317 Joseph Litner, M.D., Ph.D Names of the Respondents Hearing Site: New Orleans, LA Salomon Smith Barney Inc. Frank Melia Glenn H. Fischer REPRESENTATION OF PARTIES For Joseph Litner, M.D., Ph.D, hereinafter referred to as "Claimant": Philip Montelepre, Esq., New Orleans, LA. For Respondents Salomon Smith Barney Inc. ("SSB") and Frank Melia ("Mel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Thomas McLearen and 03-03530 Chicago, Illinois Name of Respondents LPL Financial Services a/k/a Linsco Private Ledger, Inc. and Paul Sullivan . Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Thomas McLearen ("Claimant") was represented by Rosemarie J. Guadnolo, Esq., of Horvath & Lieber, P.C., Chicago,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants ! Michael 0. and Donna J. Lareau and Case Number: 03-03524 Hearing Site: Troy, Michigan Names of Respondents ' i LaFleur & Godfrey, Inc. and Richard J. Godfrey ' • • t i , , NATURE OF DISPUTE Customers v. Non-Member and Associated Person REPRESENTATION OF PARTIES Michael O. and Donna J. Lareau ("Claimants") were represented by D. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul W. Bodet (Claimant) v. Bane of America Securities, LLC (Respondent) Case Number: 03-03518 Hearing Site: New York, IJew York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Paul W. Bodet ("Bodet") hereinafter referred to as "Claimant": Murray Schwartz, Esq., Law Offices of Schwartz & Perry, New York, NY. Respondent Bane of America Secur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Calista Williamson (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 03-03514 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Calista Williamson ("Williamson") hereinafter referred to as "Claimant'*: Alan L. Krumholz, Esq., Krumholz Dillon, P.A., Jersey City, NJ. Respondent Bear Stearns & Co.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Otto Frank Loser (Claimant) v. TD Waterhouse Investor Services (Respondent) Case Number: 03-03511 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Otto Frank Loser ("Loser") hereinafter referred to as "Claimant" appeared pro se. Respondent TD Waterhouse Investor Services, Inc. ("Waterhouse") hereinafter referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Carl 0. Gulledge, Jr. Name of the Respondents; A.G. Edwards & Sons, Inc. Charles Alessandro ase Number- 03-03506 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person. KF.PRFSFNTATTON OF PARTIES Claimant, Carl O. Gulledge, Jr., hereinafter referred to as "Claimant", was represented by M.