NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00895 Knap Family Revocable Trust, Jack and Hilda Knap, Trustees, Claimants v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Knap Family Revocable Trust, Jack and Hilda Knap, Trustees, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00894 Mike B. Duckworth, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Mike B. Duckworth, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, III, Esq., of the firm Maynard, Cooper & Gale, P.C.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00892 Christ Jaeger, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Christ Jaeger, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent"), appeared Bradley B. Rounsaville, Esq., of the firm Maynard, Cooper & Gale, P.C., B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00891 Roger Jaeger SEP and Debra Jaeger IRA, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimants, Roger Jaeger SEP and Debra Jaeger IRA, ("Claimants"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, ("Respondent") appeared A. Inge Selden, Esq., Ill, o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00890 Harriet Hanson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. , Respondent. ATTORNEYS: For Claimant, Harriet Hanson, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P. A., Miami, FL., and Charles W. Austin, Jr., Esq., of the firm C.W. Austin, Jr. PC, Richmond, VA. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00889 Claire Barrett Young, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent ATTORNEYS: For Claimant, Claire Barret Young, ("Claimant") appeared Jeffrey B. Kaplan, Esq., of the firm Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Bradley B. Rounsaville, Esq., of the firm Maynard, Cooper & Gale,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00888 Arlene Schiavo IRA, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, Arlene Schiavo IRA, ("Claimant"), appeared Jeffrey B. Kaplan, Esq., of the firm Dimond Kaplan & Rothstein, P.A., Miami, FL. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc., ("Respondent"), appeared A. Inge Selden, Esq., Ill, of the firm Maynard Cooper & Gale, P.C.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the Hai'mant Page Number: 00-05636 The Wooten Trust and John W. Wooten, Name nf the RespnnHents Hearing Site: Houston, Texas Edward Jones, Inc. and Allen J. Istre, Claimant The Wooten Trust and John W. Wooten, hereinafter referred to as "Claimant," was represented by Nan Roberets Eitel of Jones Walker located in New Orleans, Louisiana. Respondents Edward Jones, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00880 Gregory Hause, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent ATTORNEYS: For Claimant Gregory Hause ("Claimant") appeared Wm. Jemison Minis, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Kathryn R. Eldridge, Esq., of the firm Mayn

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the. Claimant Susan M. Giffm s nf the Respondents RBC Dain Rauscher Inc. Henry R. Miller, IV Case Number- 04-00873 Site- Richmond, Virginia Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSKNTATTON OF PAETIBS Claimant, Susan M. Giffin, hereinafter referred to as "Claimant", was represented by Joseph W. Kaestner, Esq., Kaestner