AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. and Name of Respondent William V. Laggner Case Number:, 05-02446 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Customer REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner &:'Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Jack D. Ballard, Esq., The Ballard Law Firm, Ho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02437 Capital Growth Financial, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Michael Bell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial LLC, hereinafter referred to as "Claimant": Charles E. Scarlett, General Counsel, Capital Growth Financial, LLC, Boca Raton, F

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02433 John F. Koningh, (Claimant) vs. Bear Stearns & Co., Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Newport Beach, CA. For Respondent appeared in-house counsel Jose L. Santos> Esq., New York, NY, NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 2, 2005 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty by placing him in investments that wer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bill Billitzer, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Joseph Meerbaum, (Respondents) Case Number: 01-00536 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bill Billitzer, hereinafter referred to as "Claimant": Jay R. McDaniel, Esq., Porzio, Bromberg & Newman, P.C., New York, NY. Respondent, Merrill Lynch, Pierce, Fenner & Smith Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02410 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atlanta, Georgia Stephen Patrick Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Daniel S. Fiore, Arlington, Virginia. Stephen Patrick, herein

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gustavo Alfonso Names of the Respondents Mickey Filippucci Oscar Melian Joseph Traba Prudential Securities, Inc. Case Number: 05-02401 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gustavo Alfonso, hereinafter referred to as "Claimant": Matthew

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02400 Stacey S. Mullet as custodian for Thomas U. Muller, Jr. Stacey S. Muller as Trustee of the Thomas U. Muller, Jr. Trust Thomas U. and Stacey S. Muller as Trustees of the Stacey S. Muller Trust Thomas U. and Stacey S. Muller as Trustees of the Thomas U. Muller Trust College Savings Plan FBO Thomas U. Muller, Jr., Dr. Thomas U. M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Rio Grande Employees Hospital Association v. 05-02399 Denver, Colorado Respondents Piper Jaffray, Inc., Cascade Financial Management, Inc. David John Turner and Cascade Investment Group, Inc. NATURE OF DISPUTE Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES Rio Grande Employees Hospital Association ("Claimant") was represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vishnu Praimwati Maraj v. Merrill Lynch Pierce Fenner & Smith, Inc. and Larue R. Gibson Case Number: 05-02395 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vishnu Praimwati Maraj hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C., New York, NY. Merr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Povill (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 05-02391 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard Povill hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Benjamin N. Cardozo School of Law, New York, New York. Respondent Merrill Lynch Pierce F