Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Morgan Keegan & Company, Inc. Name of the Respondent Scott John Egan Case Number: 04-01562 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc. ('Morgan Keegan"), hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Morgan Keegan, Memphis, Te

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nordo Nissi (Claimant) v. Prudential Securities, Inc., Robert Shannon and Robert Stein (Respondents) Case Number: 04-01558 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Nordo Nissi ("Nissi") hereinafter referred to as "Claimant": Scott F. Gleason Esq., Gleason Law Office PC, Have

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marc Andre Limot and Shirley A. Limot (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-01557 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Marc Andre Limot ("M. Limot") and Shirley A. Limot ("S. Limot") hereinafter collectively referred to as "Claimants": Daniela Hargis, Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01553 Victor Rincon Names of the Respondents Hearing Site: San Juan, Puerto Rico Allmerica Investments, Inc. Allmerica Financial Life Insurance & Annuity Company Veravest Investments, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Victor Rincon, hereinafter referred to as "Claimant": Jose A. Ax

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard O. Vandenberg, Jr., Claimant vs. Goldman Sachs & Co., Inc., Respondent Case Number: 04-01552 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. William B Federman, Esq. Fedennan & Sherwood Oklahoma City, Oklahoma For Respondent: Robin D. Fessel, Esq. Nicole

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tha Claimants Case Number: 04-01549 James R. and Mary C. Hentrich Name of the Respondents ' Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. and Anne Jacobi MAT1IPF OF r)|pPIITF Customers vs. Member Firm and Associated Person F n M   n F Mark C. Goidenberg, Esq. of the law firm Goldenberg, Miller, Heller & Antognoli, P.C., located

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morgan Keegan & Company, Inc. and Case Number: 04-01547 Hearing Site: Houston, Texas Name of Respondent NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, Tennessee. Rex Dale Green ("Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Teresa A. Beckmeyer, Claimant v. Waddell & Reed, Inc., Respondent Case Number: 04-01545 Hearing Site: Portland, Oregon Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael R. Seidl, Esq. Seidl Law Office Portland, Oregon For Respondent: Keith A. Ketterling, Esq. Stoll Stoll Berne Lokting & Shlachter Portland, Oregon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas W. Crawford, Claimant v. UBS Financial Services Inc. and Kenneth D. Horwitz, Respondents Case Number: 04-01544 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For Respondents: David L. Young

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Plaimant , , Pngp Miimhpr- 00-05705 Neville A. Aubry ring Site: Richmond, VA Salomon Smith Barney Inc. Louis W. Joe Phillip! Richards PFPPF^FXTATTOM OF Claimant, Neville A. Aubry, hereinafter referred to as "Claimant": Delmer C. Cowing, IE, Esq., Delmer C. Cowing m, P.A., Delray Beach, PL. Respondents, Salomon Smith Barney Inc. ("SSB"), Louis W. Joe ("Joe") and Phill