STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant . Wachovia Securities, LLC And 04-03539 1 . Phoenix, Arizona Name of Respondents . . Walter Jerome Clarke ! Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Ronald P. Kane and EJiane C. Fischer of Kane & Fischer, Ltd., Chicago* Illinois. t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant NealJ. Coleman Name of the Respondent A.G. Edwards & Sons, Inc. asR Number: 04-03537 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant, Neal J. Coleman, hereinafter referred to as "Claimant": Steven W. Koslovsky, Esq. located in Maryland Heights, Missouri. Respondent, A.G. Edw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fermer & Smith, Inc. Names of the Respondents Israel Kaganas and ZulmaNoemi Kaganas, JTWROS Case Number: 01-00097 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Bennett Falk, Esq. and Alexander Sarafoglu, Esq., Morgan, Lewis & B

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul Balsamello and 04-03536 Chicago, Illinois Name of Respondents RBC Dain Rauscher Inc. Robert Craig Shirley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES Paul Balsamello ("Claimant") was represented by Thomas F. Burke, Esq., Chicago, Illinois. RBC Dain Rauscher Inc. ("Respondent RBC Dain") and Rober

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia A. Mclntosh (Claimant) v. Edward D. Jones & Company., LP (Respondent) Case Number: 04-03528 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Patricia A. Mclntosh ("Mclntosh") hereinafter referred to as "Claimant": William K. Flynn, Esq., Strauss & Troy, Cincinnati, OH. Respondent Edward D. Jones & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert and Jill Bowers (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith and Paul Kane (Respondents) Case Number: 04-03526 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Bowers ("R. Bowers") and Jill Bowers ("J. Bowers") hereinafter collectively referred to as "Claimants": Peter A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03503 Jeff A. Morton and Jeff A. Morton IRA, Claimants v. Edward D. Jones & Co., and Kevin R. Aim, Respondents ATTORNEYS: Claimants Jeff A. Morton and Jeff A. Morton IRA (collectively "Claimants") appeared pro se through Jeff A. Morton, Rothsay, MN. For Respondents Edward D. Jones & Co. and Kevin R. Aim (collectively "Respondents") appeared Kimber L, Monroe, Esq., of the firm Greensfelde

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 04-03498 Linda E.Wyatt Linda E. Wyatt ERA Names of the Respondents Hearing Site: Memphis, TN Citigroup Global Markets, Inc. Hilary Zimmerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda E. Wyatt ("Wyatt") and Linda E. Wyatt IRA ("LEW IRA"), hereinafter collectively re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03498 Linda E. Wyatt Linda E. Wyatt IRA Names of the Respondents Hearing Site: Memphis, TN Citigroup Global Markets, Inc. Hilary Zimmerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda E. Wyatt ("Wyatt") and Linda E. Wyatt IRA ("LEW IRA"), hereinafter collectively referred

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Nelson R. Henry Loretta. A. Henry Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB, Grubman Case Number: 04-03495 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nelson R. Henry ("N. Henry") and Loretta A. Henry