Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernard D. Spangler and Vivian N. Spangler, Claimants v. Wells Fargo Securities Inc. and Wells Fargo Investments, LLC, Respondents Case Number: 04-04639 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimant: Thomas E. Elenbaas, Esq. Law Offices of Thomas E. Elenbaas Fullerton, California For Respondent: T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Wachovia Securities, LLC and Case Number: 04-04623 Hearing Site: Chicago, Illinois Respondents Burnis T. Brown and Lisa H. Edelman NATURE OF DISPUTE Member v. Associated Persons. REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC , ("Claimant"), or, ("Wachovia"), was represented by Ronald Kane, Esq., of Kane & Fischer, Ltd., located in Chica

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gordon McKinley, Jr. and Willie L. McKinley, As Co-Trustees of the Willie L. McKinley Revocable Trust vs. Case Number: 04-04621 Hearing Site: Houston, Texas Names of Respondents Prudential Equity Group, LLC, Merrill Lynch Pierce Fenner & Smith, Inc., Robert Scott Jones and Cindy Lynn Zuber NATURE OF DISPUTE Customers v. Member Fi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Alexandra J. Ades Hassan A. Khazem Names of the Respondents Prudential Insurance Company of America, d/b/a Prudential Financial, Pruco Securities, LLC f/k/a Pruco Securities Corporation Cheryl Borek Sara Dwyer Case Number: 04-04612 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member and Associated P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04609 Ruth L. Gillingham Names of the Respondents Hearing Site: Boca Raton, Florida Lawrence L. Miller Michael J. Miller, CPA Miller Financial Group, LLC Medallion Investment Services, Inc. Nature of the Dispute: Customer vs. Member, Non-member and Associated Person. REPRESENTATION OF PARTIES For Ruth L. Gillingham, hereinafter re

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Gaimant Ruth L. Gillingham Names of the Respondents Lawrence L. Miller Michael J. Miller, CPA Miller Financial Group, LLC Medallion Investment Services, Inc. Case Number: 04-04609 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member, Non-member and Associated Person. REPRESENTATION OF PARTIES For Ruth L. Gillingham,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Jamie S. Botts and Philip S. Gellott and 00-00584 Kansas City, Missouri Name of Respondents Corporate Network Brokerage Services, Inc. Brian T. Hague Douglas P. Richardson REPRESENTATION OF PARTIES Jamie S. Botts and Philip S. Gellott ("Claimants") were represented by Spencer Fane Britt & Browne, LLP, Kansas City, Missouri. Corporate Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Roger and Ann F. Sullivan Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-04608 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roger and Ann F. Sullivan, hereinafter collectively referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Harvey Abraham Charlotte Abraham Names of the Respondents Morgan Stanley DW, Inc. Jay Cohen A. G. Edwards & Sons, Inc. Case Number: 04-04602 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Harvey Abraham and Charlotte Abraham, hereinafter collectively refe

NASD DISPUTE RESOLUTION AWARD - Single Arbitrator Paper Only Case NASD DISPUTE RESOLUTION CASE: 04-04600 Todd E. Schneider, CLAIMANT v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, RESPONDENTS ATTORNEYS: For Claimant, Todd E. Schneider, appeared Douglas H. Glicken, Esquire, of Law Office of Douglas H. Glicken, P.A., Orlando, FL, and James Richard Hooper, Esquire, of the firm Hooper and Weiss, LLC, Orlando, FL. Fo