Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant raseNnmher- 03-03006 Bane of America Investment Services, Inc., Name nf the Respondent Hearing Site- Albuquerque, New Mexico Anthony Gonzales, OF PARTTF Claimant Bane of America Investment Services, Inc., hereinafter referred to as "Claimant," was represented by Rodolfo Parga, Jr., Esq. and William A. Richards, Esq. of Ryley Carlock & Applewhite, P. A. l

Award NASD Dispute Resolution In the Matter of the Arbitration Between: LG Securities America, Inc. (Claimant) v. HRH Sheikh Hamdan Bin Mohamad Al Nahyan Management Office (Respondent) Case Number: 03-03004 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant LG Securities America, Inc. ("LG") hereinafter referred to as "Claimant": Maria D. Melendez, Esq., Sidley Austin Brown & Wood, LLP, Ne

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Names of Claimant Wendy Niemann and 03-03003 Milwaukee, Wisconsin Name of Respondent John W. Busy II Nature of dispute: Claimant v Associated Person. REPRESENTATION OF PARTIES Wendy Niemann ("Claimant")) located in Kenosha, Wisconsin was pro se. John W. Busy, II ("Respondent") was represented by Bruce Lewitas, Esq., of Lewitas & Associates, P.C., located in Chic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wendell Argabrite IRA Rollover (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Dana P. Maynard (Respondents) Case Number: 03-03000 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Wendell Argabrite IRA Rollover ("Argabrite IRA") hereinafter referred to as "Claimant": Edward M. Kowa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Candice Ting, as Attorney-in-Fact for Nai-Shih Ting, Claimant v. Royal Alliance Associates, Inc. and Robert L. Levine, Respondents Case Number: 03-02990 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter, P.C. Encino, Califor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Matthew W. Hurlburt and 03-02987 Milwaukee, Wisconsin Names of Respondents Tom F. Schmid and Robert W. Baird & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Matthew W. Hurlburt, ("Claimant"), or, ("Hurlburt") was represented by David J. Lang of Brookfield, Wisconsin. Responde

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Gregory Thompson and Kathy Hastings v. 03-02986 Minneapolis, Minnesota Respondents New England Securities Corporation and New England Financial Nature of Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES Gregory Thompson and Kathy Hastings ("Claimants") were represented by Harvey H. Eckart, Esq., of Eckart & Leonetti, P.A., Saint Paul

NASD Dispute Resolution Arbitration No. 03-02981 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill, Lynch, Pierce, Fenner & Smith (Claimant) v. Richard G. Hausler and Smith Barney, a Division of Citigroup Global Markets, Inc. (Respondents) Case Number: 03-02981 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith ("Claimant"): Paul G. Kirk, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the rifli Mary Fuller, as Executrix of the Estate of Mary Belleville Hart Name nf thf* ftp.spnndp.nts Pinnacle Asset Management, Inc., John J. Katsock, Sr., and John J. Katsock, Jr. Case. Number- 01-01250 ing .Site.: Philadelphia, Pennsylvania RPPRRWNTATTON OF PARTIES Claimant Mary Fuller, as Executrix of the Estate of Mary Belleville Hart, hereinafter re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02976 David D. McNally, Claimant vs. The Williams Financial Group and Cross Financial Services Corporation, Respondents. ATTORNEYS: Claimant, David D. McNally, ("Claimant"), appeared pro se, San Antonio, TX. Respondent, The Williams Financial Group, ("Respondent"), appeared through its Chief Compliance Officer, Dagny W. Young, Dallas, TX. Respondent, Cross Financial Services Corporation,