Award NASD Dispute Resolution In the Matter of the Arbitration Between: flflimantg CflSfl NMUlbfT' 04-01640 Gary and Bonnie Guin Hf firing Sitf Dallas, Texas InterSecurities, Inc. and Gregory James Hildebrand NATTTPF OFTTTF mSPTTTF. Public Customer v. Member Firm and Associated Person PF.PPF.SinVTATTmV OF Claimants Gary and Bonnie Gum, hereinafter collectively referred to as "Claimants": Richard H. Elliott, Esq. of the Law Offices of Ric

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Ronald Topolewski and Cecile Topolewski and Respondents , Morgan Stanley Dean Witter & Co. Cain Benjamin Kobert, and Mary Colleen Wright . . Case Number: 04-01639 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Ronald Topolewski ahc- .Ce.c'ile Topolewski. ("Clairnan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Whicheloe Keitges and 04-01638 Phoenix, Arizona Name of Respondents D.A. Davidson & Co. Ron A. Lusk Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Susan Whicheloe Keitges ("Claimant") appeared pro se. D.A. Davidson & Co. ("Respondent D.A. Davidson") and Ron A. Lusk ("Respondent Lusk") (collect

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Hutchins and 04-01637 Nashville, Tennessee Name of Respondent Merrill Lynch Pierce Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES William Hutchins ("Claimant") was represented by Jeffrey Musslewhite, Esq., Woska & Hayes, L.L.P., Kingwood, Texas. Merrill Lynch Pierce Fenner & Smith, Incorp

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Peggy S. Smith and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and John S. Kloss Case Number: 04-01635 Hearing Site: Houston, Texas NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Peggy S. Smith, ("Claimant') was represented by Robert E. Lapin, Esq., Lapin & Landa, L.L.P.,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathy F. Nichols, TTEE & POA Amon Nichols Decedent Trust and 04-01632 Phoenix, Arizona Name of Respondents Wachovia Securities, LLC David R. Steinberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Kathy F. Nichols , TTEE & POA Amon Nichols Decedent Trust ("Claimant") was represented by Richa

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stanley and Harriet Landsberg Trust U/A 12/21/91, Stanley and Harriet Landsberg, Trustees Case No. 00-05720 Names of Respondents Janney Montgomery Scott LLC Charles Bernard Lowlicht The Dratel Group, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Stanley and Harriet Landsberg Trust U/A 12/21/91, Stanley a

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Ella Hermann and Mary Weyer and Names of Respondents Aura Financial Services, Inc., Erik J Matz and Timothy M. Gautney Case Number: 04-01631 Hearing Site: Louisville, Kentucky NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Ella Herrmann ("Hermann") and Mary Weyer ("Weyer"), hereinafter collecti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Edward and Shirley Benzon and 04-01628 Nashville, Tennessee Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customers vs. Member Firm REPRESENTATION OF PARTIES Edward and Shirley Benzon ("Claimants") were represented by H. Naill Falls, Jr., Esq., of Falls & Veach, Nashville, Tennessee. Morgan Stanley DW, Inc. ("Respondent")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the riaimnnt Case Number 04-01619 Albert S. Bier Names nf the Respondents Hearing Site- Pittsburgh, PA Tiche Capital Strategies, LLC Emmett A. Larkin Company, Inc. Third-Party Respondent David Osaba Nature of the Dispute; Customer vs. Members RF.PRF.SF.NTATTON OF PAHTITCS Claimant, Albert S. Bier, hereinafter referred to as "Claimant", was represented by Mic