Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp riaitnant ( Case Number; 04-07438 Ronald G. Mackley Names of the Respondents Hearing Site; Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry Mitchell Barbush Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PARTIKS Claimant, Ronald G. Mackley, hereinafter referred to as "Claimant", was represented by Jo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07430 Jacqueline A. Roberts (Claimant) v. Nations Financial Group, Inc. and Bruce Feurig (Respondents) ATTORNEYS: Claimant Jacqueline A. Roberts ("Claimant") appeared pro se, Neenah, WL For Respondents Nations Financial Group, Inc. and Bruce Feurig (collectively "Respondents") appeared William T. McCartan, Esq., of the firm Bradley & Riley, PC, Cedar Rapids, LA. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants r.ase: Number 04-07428 Cynthia Waller-Booker Yvette Waller-Barnes Names of tne Respondents Hearing Site- Washington, D.C. First Union Capital Markets Corporation Wachovia Securities, LLC Harry L. Davis Nature of the Dispute: Customers vs. Member and Associated Person. RKPRFSFNTATTON OF PARTTF.S Claimants, Cynthia Waller-Booker ("Waller-Booker") and Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Damilola Olorunnisola (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) Case Number: 04-07426 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Damilola Olorunnisola hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 04-07422 William Wilder Selma Wilder Names nf the Respondents Hearing Site- Philadelphia, PA AXA Advisors, LLC Karr Earth Associates, Inc. Christopher Doyle Joiner Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. RFPRFSF.NTATTON OF PARTTF.S Claimants, William Wilder and Selma Wilder, hereinafter collec

Stipulated Award NASD In the Matter of the Arbitration Between: Alvin Meiseles and Gloria Ruth Meiseles, Individually and as Trustee for the Gloria Ruth Meiseles Trust DTD 10/24/96, Claimants v. Asset Management Securities Corporation, James Michael Barry and James Albert Barry, Jr., Respondents Case Number: 01-00328 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Alvin Meiseles ("AM") and Gloria Ruth Meiseles ("GRM"), Individually and a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the rinimnnt Case Nnmhgr 04-07421 Merrill Lynch Pierce Fenner & Smith, Inc. Nrnnp nf tVie Respondent Hearing Site' Charlotte, North Carolina Grandy Michael Crump Nature of the Dispute: Member vs. Associated Person. KFPKF.SF.NTATTON OF PARTTFS Claimant, Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant", was represented by David F. McComb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Resortcol, Inc. Alfredo Acosta Names of the Respondents Merrill Lynch Pierce Fenner & Smith Maryann Correa Case Number: 04-07420 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Resortcol, Inc. and Alfredo Acosta, hereinafter collectively referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jimmy Kenney June Kenney Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Rod Guercio Robert Wiggins Case Number: 04-07416 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jimmy Kenney ("Jim Kenney") and June Ke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07415 Edward L. Sweeney Ilidia R. Sweeney Name of the Respondent Hearing Site: Orlando, Florida Prudential Securities, Inc., a/k/a Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward L. Sweeney ("E. Sweeney") and Ilidia R. Sweeney ("I. Sweeney"), hereinafter collectively