Award NASD Dispute Resolution in me Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04831 Carolina Nunez Name of the Respondent Hearing Site: Boca Raton, Florida AX A Advisors, LLC REPRESENTATION OF PARTIES For Carolina Nunez ("Nunez"), hereinafter referred to as "Claimant": Steven R. Reininger, Esq., Rasco Reininger Perez & Esquenazi, P.L., Coral Gables, Florida. For AXA Advisors, LLC ("AXA"), hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04822 CGF Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Evan Seltzer Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTTES For CGF Securities, LLC, hereinafter referred to as "Claimant": Delmer C. Cowing, HI, Esq., Delray Beach, Florida. Evan Seltzer, hereinafter referred to as "Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-04821 Russell and Doris Elliott Name of the Respondents Hearing Site: St. Louis, Missouri A.G. Edwards & Sons, Inc. and Gregory S. Allen REPRESENTATION OF PARTIES Steven W. Koslovsky, Esq. formerly of the firm Blumenfeld, Kaplan & Sandweiss, P.C., now with the Law Offices of Steven Koslovsky located in Maryland Heights, Missouri, represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Carl E, Velte and Mary E. Velte and 02-04820 Oklahoma City, Oklahoma Name of Respondents Regions Investment Co., Inc. n/k/a Morgan Keegan & Company Inc. Sean W.Wright Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Carl E. Velte and Mary E. Velte ("Claimants") were represented by Jason Browning, Esq., Warner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Pase Number: 02-0481 8 Arlene I. Bobb Name nf the Kespnn dents Hftflrmg Site: Philadelphia, PA Fahnestock & Co., Inc. Estate of Jeffrey S. Vizak Nature of the Dispute: Customer v. Member and Associated Person. RFPRFSF.NTATTON OF PARTTFS Claimant, Arlene I. Bobb, hereinafter referred to as "Claimant", was represented by Nicholas J. Guiliano, Esq., Attorney

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Fireman (Claimant) v. Morgan Stanley Dean Witter, Inc. and Jay Korff (Respondents) Case Number: 02-04815 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Fireman ("Fireman") hereinafter referred to as "Claimant": Kevin T. Peters, Esq., Todd & Weld, LLP, Boston, MA. Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Harriette R. Brooks POA Harriette B. Mazzanti Case No. 00-03926 Names of Respondents FFP Securities, Inc. William Chesley Sowell, IV William Ed Rownd, Jr. Hearing Site: Little Rock, Arkansas REPRESENTATION OF PARTIES For Harriette R. Brooks POA Harriette B. Mazzanti hereinafter referred to as "Claimant": Donald S. Ryan, Esq., Dodds, Kidd, Ry

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William E. Harris and Antoinette Harris, Claimants v. FSC Securities Corporation, Frank A, Cuenca and Timothy C. Sullivan, Respondents Case Number: 02-04811 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: For Respondents: John A. Bender, Jr., Esq. George Bonini, Esq. Holland & Knight LLP Seattle, Washington Edward Zusman, Esq. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Ditchkus, Bay Auto LLC SEP f/b/o Mark Ditchkus and Mark Ditchkus, IRA Name of the Respondent Morgan Stanley DW, Inc. Case Number: 02-04809 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mark Ditchkus, Bay Auto LLC SEP f/b/o Mark Ditchkus and Mark Ditchkus, IRA, hereinafter refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-04808 Tanya Reimschissel, Individually and as Trustee for Tanya Reimschissel Living Trust Names of the Respondents ' Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. James Laughlin, Sr. James Park Laughlin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Tanya R