Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tlift Plaimgmt Pggp "Murph^r- 04-03090 Northeast National Bank n f tb ft ^f?p n T)d^nt H?arJTi3 ^it R ' Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith, Inc. OP T Customer v. Member Firm BF.PttF.CT.NTATTnN OF PAPTTFR Claimant Northeast National Bank, hereinafter referred to as "Claimant": Robert L. Tobey, Esq., of the firm of Johnston T

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Joseph W. Berlinger Blissa K. Berlinger Name of the Respondent Salomon Smith Barney Case Number: 04-03083 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph W. Berlinger and Elissa K. Berlinger, hereinafter collectively referred to as "Claimants", appeared prose. For Salomon Smith

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03081 Beatrice Marks Names of the Respondents Hearing Site: Boca Raton, FL Dupont Securities, Inc. Alex Rabinovich Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Beatrice Marks ("Marks"), hereinafter referred to as "Claimant": Bruce Katzen, Esq., Kluger, Peretz, Kaplan & Berlin, P.L., M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ...... ' t \ Name of the Claimant Case Number: 04-03078 Brian Sidella I Names of the Respondents Hearing Site: Boca Raton, Flonda Merrill Lynch, Pierce, Fenner & Smith, Inc. Frederic Mannheimer . Anthony Kurlas Nature of trie Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brian Sidella, hereinafter referred to as

STIPULATED AWARD NASD REGULATION, INC. . X In the Matter of the Arbitration Between: : ROMEO CONTI, : NASDArb.No.: 01-00063 Claimant, : - against - : DRAKE CAPITAL SECURITIES, INC., : EDWARD HAGGERTY, MICHELE D. WESSEL, DANIEL LEVINE, EDWARD : MOLD AVER and PARAGON CAPITAL MARKETS, : Respondents. : REPRESENTATION OF PARTIES Claimant Rorneo Conti ("Claimant") was represented by Michael H. Ference, Esq. of the law firm of Siche

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Suzan J. Shoshan Case Number: 04-03074 Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. John Ury Melvin Schoen Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Suzan J. Shoshan, hereinafter referred to as "Claimant": Scott L. Silver

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Patricia N. Earle Name of the Respondent Wachovia Securities, LLC r 04-03070 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member. RRPRF.SRNTATTON OF PARTTFS Claimant Patricia N. Earle, hereinafter referred to as "Claimant", was represented by A. Daniel Woska, Esq., Woska & Hayes, LLP, Oklahoma City, Oklahoma. Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03068 Anthony Jack Condon, Claimant v. Advest, Inc. and Charles Machock, Respondents ATTORNEYS: For Claimant Anthony Jack Condon ("Claimant") appeared A. Brian Mclntosh, Esq., of the firm Mclntosh & Mclntosh, P.L.L.C., Cincinnati, OH. For Respondents Advest, Inc. and Charles Machock (collectively "Respondents") appeared Dennis J. Concilia, Esq., Carlile Patchen & Murphy, LLP, Columbus, OH.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George F. Simms (Claimant) v. Daniel C. Shepler and Susannah Weis (Respondents) Case Number: 04-03059 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant George F. Sims ("Simms") hereinafter referred to as "Claimant" appeared pro se. Respondents Daniel C. Shepler ("Shepler") and Susannah Weis ("Weis") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-03058 Michael J. and Kathy M. Geiler Name of the Respondent Hearing Site: St. Louis, Missouri Edward D. Jones & Co. T Customers vs. Member Firm 5 * David Mee, Esq. of the law firm Woska & Hayes, LLP, located in Kingwood, Texas represented Claimants, Michael J. and Kathy M. Geiler ("Geiler"), hereinafter collectively referred 'to