Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of the Claimant Case Number: 00-04396 Richard L. Wampold Names of the Respondents Hearing Site: New Orleans, LA A.G. Edwards & Sons, Inc. Bryce Weldon Smith REPRESENTATION OF PARTIES For Richard L. Wampold, hereinafter referred to as "Claimant": Jack M. Dampf, Esq. of Dampf, Edwards, Thibaut, Melanson, Delatte & Marcantel, L.L.P., Baton Rouge, LA. For A.G.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cantone Research, Inc. (Claimant) v. Giovanni Domino and Michael Taranto (Respondents) Case Number: 03-00886 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Cantone Research, Inc. ("Cantone") hereinafter referred to as "Claimant": Walter L. Baumgardner, Esq., Musilli, Brennan, Letvin & Pamell, PLLC, St. Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael F. Legg (Claimant) v. Jefferies & Company, Inc. (Respondent) Case Number: 03-00885 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael F. Legg ("Legg") hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., New York, NY. Respondent Jefferies & Company, Inc. ("Jefferies") hereinafter re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark E. Imbertson Name of the Respondent Frank Scalise Case Number: 03-00883 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Mark E. Imbertson ("Imbertson"), hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00880 Anthony DePasquale Name of the Re_spondent Hearing Site: Tampa, Florida Prime Capital Services, Inc. Nature of the Dispute: Customer vs. Member Finn. REPRESENTATION OF PARTIES Anthony DePasquale ("DePasquale"), hereinafter referred to as "Claimant", appeared pro se. For Prime Capital Services, Inc. ("Prime Capital"), hereinafter ref

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00873 Richard D. and Ella B. Sanders, Claimants v. Carl B. Dickson, Jr. and Elwood G. Glass, III, Respondents. ATTORNEYS: Claimants, Richard D. and Ella B. Sanders, ("Claimants"), appeared pro se, Ashland, VA. For Respondents, Carl B. Dickson, Jr. and Elwood G. Glass, III, ("Respondents"), appeared Ricardo J. Nunez, Richmond, VA. NATURE OF DISPUTE: Customers v. Associated Persons DAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rose Marie A. Belinskey, Claimant v. U.S. Bancorp Piper Jaflray, Inc. and William H. Lockwood, Respondents -^ Case Number: 03-00871 Hearing Site: Portland, Oregon * Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mark E. Griffin, Esq. Griffin McCandlish Portland, Oregon For Respondents: Robert J. Bocko, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00870 Judith A. Clink . , The Judith A. Clink IRA »• Names of the Respondents Hearing Site: Tampa, Florida The Holland Group H , ' " Steven L. Holland Nature of the Dispute: Customer v. Non-Member Firm and Associated Person. REPRESENTATION OF PARTIES For Judith A. Clink and The Judith A. Clink IRA, hereinafter c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 03-00867 Gayle A. Williams Gayle A. Williams IRA Gayle A. Williams Roth IRA Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Robert Bruce Baird Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES For Gayle A. Williams, Gayle A. Williams IRA,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-00864 The Esper A. Petersen Foundation and The Edgar Petersen Trust Name of the Respondents Hearing Site: Chicago, Illinois Morgan Stanley Dean Witter and Richard Welton NATURE OF THE DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Thomas Hargett, Esq., and Andrew J. Stoltmann, Esq., of the firm Maddox