Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kung Ming Chan (Claimant) v. Merrill Lynch Pierce Fenner and Smith, Inc., and E. Stanley Peck Jr. (Respondents) Case Number: 04-03573 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Kuang Ming Chan hereinafter referred to as "Claimant": Appeared pro se. Respondents, Merrill Lynch Pierce Fenner an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Victor T. Nostas, Claimant Vs. First Allied Securities, Inc. Respondent. Case Number: 01-00099 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Victor T. Nostas, ("Nostas") represented himself. Respondent, First Allied Securities, Inc. ("First Allied") was represented by Robert Moses, Esquire and Marion J. Vomhoff, Esquire in house attorne

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward and Georgia Paskel (Claimants) v. McDonald Investments Inc., and Mark Morena (Respondents) Case Number: 04-03570 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Edward Paskel and Georgia Paskel hereinafter collectively referred to as "Claimants": James P. Graven, Esq., of the Law

Award NASD Dispute Resolution In the Matter of the Arbitration Between: State Street Bank & Trust Co., as Custodian for Albert Snyder IRA (Claimant) vs. American Skandia Marketing Company, Inc., Wachovia Securities, LLC, Prudential Equity Group, LLC, Pruco Securities, LLC, Prudential Investment Management Services, LLC, Main Street Management Company and, Mark Flaherty (Respondents) Case Number: 04-03569 Hearing Site: Buffalo, New York. Nature of the Di

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Respondent Max International Broker Dealer Corp. Case Number: 04-03566 Hearing Site: Southfield, Michigan Customer v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Seepaul Lyman ("Claimant") appeared in pro per. Max International Broker Dealer Corp. ("Respondent") was represented by Nigel Gilbert, Max International Broker Dealer Corp, New York, New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carl F. Schrader, Carl F. Schrader, Keogh and Carl F. Schrader, Trustee of the Schrader Irrevocable Trust, Claimants v. Charles Schwab & Co., Inc. and Joshua E. Hurd, Respondents Case Number: 04-03563 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Carl F. Schrader Menlo Park, Cali

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Douglas C. Pierson Patricia M. Pierson Names of the Respondents Merrill Lynch, Pierce Fenner & Smith Inc. H. James Arwood Michael J. Northcott Case Number: 04-03559 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas C. Pierson and Patricia

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara K. Sader and 04-03554 Overland Park, Kansas Name of Respondents Morgan Stanley DW Inc. Noel Carino Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Barbara K. Sader ("Claimant") was represented by Robert R. Barton, Esq., The Law Office of Robert R. Barton, LLC, Overland Park, Kansas. Morgan St

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ]SJatnp nf ffrg Claimant Ppgft ^iTnhfp 04-03553 Gary D. Epple p T?RspnpHf*nfo Hf firing Sit?* Dallas, Texas Schwab Capital Markets, L.P., f/k/a Mayer & Schweitzer, Inc.; and TD Waterhouse Investor Services, Inc. TVATTTRF O TF Public Customer v. Member Firms FFrPPF.SW.NTATTmW OF PARTIES Claimant, Gary D. Epple, was present at the hearing and represented himself. R

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03541 Margaret Harper Names of the Respondents Hearing Site: Memphis, Tennessee SouthTrust Securities, Inc. Daniel Kincaid Taylor, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret Harper, hereinafter referred to as "Claimant": J. Timothy Francis, Esq., James L. Nor