Award NASD Dispute Resolution In the Matter of the Arbitration Between: >Jamp. nf thp Plajmatit PQQP ISTii^nh^r- 02-06293 Lisa DePrato nf the ReyprMifontf 5 Hearing Sit?' Dallas., Texas Prudential Equity Group, Inc.; and, Robert E.Holland OF TT T>TSFTTTF Customer v. Member Firm and Associated Person OF Claimant Lisa DePrato, hereinafter referred to as "Claimant": Clifton T. Hutchinson, Esq. and Matthew D. Nielsen, Esq. of the fir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc., Case Number: 02-06292 Claimant, vs. Donald Bosse, Hearing Site: Houston, Texas Respondent, Nature of Case: Member vs. Associated Person Off PAPTTF.S Claimant Wachovia Securities, Inc., hereinafter referred to as "Claimant," was represented by Douglas D. Callaway, Esq. of Wachovia Securities, Inc. located in Richmond, Virginia. Respondent Do

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond A. Shapiro, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch Asset Management, LP, Merrill Lynch Focus Twenty Fund, Inc. and Michael Weil, Respondents. Case Number: 02-06288 Hearing Site: Albuquerque, New Mexico NATURE OF DISPUTE Customer vs. Member Firm, Non-Member Firms and Associated Person Claimant, Raymond A. Shapiro ("Shapiro"), referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant. Alfons Hogrebe and Case Number: 02-06287 Hearing Site: Troy, Michigan Names oLRespondents AXA Advisors, LLC The Equitable Life Assurance Society of the United States, and Andrew R. Nestor NATURE OF DISPUTE Customer v. Members and Associated Person REPRESENTATION OF PARTIES Alfons Hogrebe ("Claimant") was represented by Anthony V. Trogan, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06286 Louis Hosek Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Ronald May Richard Velten Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louis Hosek, hereinafter referred to as "Claimant": Patrick A. Davis, P.A., Clearwater, Florida. For Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-04100 Gregory D. Trammell Name of the Respondent Hearing Site: Albuquerue, NM Morgan Stanely Dean Witter Inc., and Brian Bower REPRESENTATION OF PARTIES Claimant Gregory D. Trammell hereinafter referred to as "Claimant": Clinton Marrs, Esq. of Vogel, Campbell, Blueher & Castle, P.C. located in Albuquerque, New Mexico. Respondents M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: prfcimant r flSf Niimter 02-06^83 George Stocker pug S itfv Chicago, Illinois Bane One Securities Corporation OF PATTFS Claimant George Stocker ("Stocker") hereinafter referred to as "Claimant": Alan Block, Esq., of Block & Landsman, located in Chicago, Illinois. i Respondent Bane One Securities ("Bane One") hereinafter referred to as "Respondent": Kennet

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06279 Michael F. Siegel Names of the Respondents Hearing Site: New Orleans, LA Hunt and Linda Downer Patrick and Dorothy Landry Nature of the Dispute: Associated Person v. Customer. REPRESENTATION OF PARTIES For Michael F. Siegel, hereinafter referred to as "Claimant": George C. Freeman, Esq., Barrasso Usdin Kupperman Freeman & Sarver

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06275 Louis Savoldy and Ellen Savoldy Names of the Respondents Hearing Site: Tampa, FL A.G. Edwards & Sons, Inc. Richard Velten Ronald May Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louis Savoldy and Ellen Savoldy, hereinafter collectively referred to as "Claimants": Patrick A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stephen R. James Names of the Respondents InterSecurities, Inc. Western Reserve Life Insurance Co. James P. Gouldman Case Number: 02-06274 Hearing Site: New Orleans, LA Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stephen R. James, hereinafter referred to as "Claimant": Paul J. Masin