Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael R. Hembury and Susan L. Hembury (Claimants) vs. Oppenheimer & Co. Inc., and Stanley Wong (Respondents) Case Number: 04-00171 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael R. Hembury ("M Hembury") and Susan L. Hembury ("S. Hembury") hereinafter collectively referred to as ("C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jack S. Gilbert and Brena Gflbert, (Claimants) vs. A.G. Edwards & Sons, Inc., Patrick B. Honadle, Anne Catiilai, Bill Branson, Jr., Jon Lawrence, Gail Romano, and Joe KJarberg, (Respondents) Case Number: 99-05350 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Jack S. Gilbert ("J. Gilbert") and Brena Gilbert (*B. Gilbert"), hereinafter collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation, Claimant/Counter-Respondent v. Martyn A, Powell, Respondent/Counter-Claimant Case Number: 99-05348 Hearing Site: Seattle, Washington For Claimant/Counter-Respondent: Patrick L. Hinton, Esq. Hinton & Roth Seattle, Washington For Respondent/Counter-Claimant: John A. Bender, Esq. Holland & Knight Seattle, Washington CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James J. Striegel and Terri Striegel, Claimants Vs. Bear Stearns & Co., Inc., William McBee and William Vincent Swisher Respondents. Case Number: 99-05345 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, James J. Striegel and Terri Striegel, hereinafter referred to as "James and Terri Striegel" were represented by Robert E. Goodman, Esquire, Att

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants MML Investors Services, Inc. Ralph C. Freibert, III Massachusetts Mutual Life Insurance Co. Case No. 99-05335 Name of Respondent Hunter W. Brannon, Jr. Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For MML Investors Services, Inc. ("MML") and Massachusetts Mutual Life Insurance Co. ("Mass Mutual"): Stephanie D. Shuler, Esq. of St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph W. Schaeffer Case No. 99-05324 Names of Respondents Morgan Keegan & Company, Inc. George Arras, Jr. Earl Bailey Jock Whisnaut REPRESENTATION OF PARTIES For Joseph W. Schaeffer, hereinafter referred to as "Claimant": James A. Johnson, Esq., Mobile, AL. For Morgan Keegan & Company, Inc. ("MKC"), George Arras, Jr. ("Arras"), Earl Bai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05319 GKN Securities Corp., Claimant vs. Paul Brodsky, Respondent. ATTORNEYS: Claimant, GKN Securities Corp. ("Claimant") appeared through its Vice President, Michael Colombo, New York, NY. Respondent, Paul Brodsky, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 26, 1999 CASE SUMMARY: Claimant alleged that Respondent breached their contractual agree

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05317 Isidor Farash, claimant vs. Alan Lustig and GKN Securities, respondents. ATTORNEYS: Claimant Isidor Farash ("Claimant"), appeared Pro Se., Chatam, New Jersey. For Respondent GKN Securities Corp. ("GKN"),and Alain Lustig ("Lustig"), (collectively "Respondents"), Katherine Nathan, in-house counsel for GKN Securities Corp., New York, New York. DATE FILE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: i Bruce Hicks and Lisa Hicks, (Claimants) vs. A.G. Edwards & Sons and William Andrew Gallmeister (Respondents). Case Number: 99-05313 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Bruce Hicks and Lisa Hicks, ("Claimants"): Richard J. Edson, Esq. Edson, Laplante & Spinelli, PC, Sacramento, CA. Respondent, A.G. Edwards & Sons, Inc. and William Andre

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marion Bass Securities Corporation, Claimant v. Laura C. Farlow, Respondent Case Number: 99-05312 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: W. Shawn Murnahan, Esq. Alston & Bird LLP Atlanta, Georgia For Respondent: W. Joseph Dozier, Jr., Esq. Dozier, Miller, Pollard & Murphy Charlotte, North Carolina Michael S. M