Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03428 Charlotte Seltzer Carl H. Seltzer Name of the Respondent Hearing Site: Orlando, Florida Calton & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charlotte Seltzer and Carl H. Seltzer, hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyderburn, Rishoi &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03425 LaTonya McLaughlin The Estate of Maurice R. McLaughlin Name of the Respondent Hearing Site: Memphis, TN Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For LaTonya McLaughlin and The Estate of Maurice R. McLaughlin, hereinafter collectively referred to as "Claimants": John T. Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael K. Plambeck Name of the Respondent Olde Discount Corporation n/k/a H&R Block Financial Advisors, Inc. Nature of the Dispute: Customer vs. Member Case Number: 01-00094 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For Michael K. Plambeck, referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton

Award NASD Dispute Resolution In the Matter of the Arbitration Between:. Name of the Claimant Adele S. Roth IRA FBO Adele S. Roth Names of the Respondent^ Merrill Lynch, Pierce, Fenner & Smith, Inc. James M. Raduvolic, Sr. Case Number; 04-03416 ing Site- Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RFPRF.SF.NTATTON OF PARTIES Claimant, Adele S. Roth IRA FBO Adele S. Roth, hereinafter referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David and Mary Monk and Names of Respondents Mutual Service Corporation and Richard William Conlin Case Number: 04-03413 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David and Mary Monk ("Claimants") were represented by Gary F. Cerasuolo, Esq., Smith & Cerasuolo,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Garda (Claimant) vs. First Union Securities a/k/a Wachovia Securities, LLC and Scott D. Luikart (Respondents) Case Number: 04-03410 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Garda hereinafter collectively referred to as "Claimant": James S. Jones. Esq., James S. Jones, L.P.A. Polan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Ora Robertson, IRA NflmftS of thp Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John Thomas Holland Case Nnmher: 04-03409 aring Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRP,SKNTATTfiM OF PARTIES Claimant, Ora Robertson, IRA, hereinafter referred to as "Claimant", was represented by

Stipulated Award NASD Dispute Resolution In the Matter of fche Arbitration Between: , Name nf Hhc Claimant Pare Number 04-03408 James W. Coe Names nf fhp P. pspnnftents Hearing Site- Richmond, Virginia Merrill Lynch, Pierce, Fenner & Smith, Inc. John T.Holland Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTOK OF PAPTTFS Claimant James W. Coe, hereinafter referred to as "Claimant", was represented by Shawn P. Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas McAdam (Claimant) vs. David Nagel; Willis Mitchell, d/b/a Mitchell Nagel, Associates (Respondents) Case Number: 04-03407 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Associated Persons REPRESENTATION OF PARTIES Claimant Thomas McAdam ("McAdam") hereinafter referred to as "Claimant": M. David Sayid, Esq., Sayid and Associates, LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward W. Cochran and Anne Spoeneman a/k/a Anne S. Cochran, Trustee of the EWC Retirement Plan (Claimants) vs. Thomas A. Gallo, Gregory Gallo, Kirlin Securities, Inc., and M.S. Farrell & Co., Inc. (Respondents) Case Number: 04-03406 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Edward W. Cochr