Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Liebenguth and Margaret Liebenguth (Claimants) v. Westrock Advisors, Inc., Greg Martino, Gerard Leo, Steven Dash, and Stephen Zipkin (Respondents) Case Number: 03-02006 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants David Liebenguth and Margaret Liebenguth ("The Liebenguths") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melvin Stevens, Claimant v. Linsco/Private Ledger Corp. and Edwin Bauer, Respondents Case Number: 03-01995 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: H. Thomas Febn, Esq. Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: David S. Markun,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01994 Stifel, Nicolaus & Co., Inc. Name of the Respondent Hearing Site: Chicago, Illinois Stan Parks Type of Controversy: Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Kelly S. Karase, Esq. of the firm Blackwell Sanders Peper Martin, LLP. Respondent Stan Parks did n

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Gayle Edmonson and Salvatore F. Coriale and Case Number: 03-01989 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc., and Ray Alexander Thompson NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Gayle Edmonson and Salvatore F. Coriale ("Claimants") were represented by R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: es nf the. (Tntmnnte Case Number 03-01988 David N.Dolton Karen B. Dohon Names nf the Respondents Hearing Site- Washington, DC Merrill Lynch, Pierce, Fenner & Smith, Inc. James J.King William E. Fraley, III Nature of the Dispute: Customers vs. Member and Associated Persons. RF.PRFSFMTATTON OF PARTTFS Claimants, David N. Dolton and Karen B. Dohon, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01985 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Orlando, Florida Kerry Constantine Geaneas Nature of the Dispute: Member Firm vs. Associated Person. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Deborah H. Gottlieb, Esq., Davidson & Grannum, L.L.P., Northvale, New Jersey.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Farahi, Claimant v. Greater Community Financial, L.L.C., Jeffrey Boss, Bruce Marshall Chodash, Michael W. Mulligan, and Robert H. Petersen, Respondents Case Number: 00-03572 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Office of Steven L. Miller Woodland Hills, California For Respondents: J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01984 William J. Chiusano HI and Carol C. Chiusano JTWROS Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William J. Chiusano III and Carol C. Chiusano JTWROS, hereinafter referred to as "Claimant": Emily Peaco

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Randi Everett and Samuel Everett (Claimants) v. National Planning Corporation and Marc Standig (Respondents) Case Number: 03-01978 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES The Estate of Randi Everett ("The Estate") and Samuel Everett ("S. Everett") hereinafter collectivel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Patton (Claimant) v. J.P. Morgan Chase & Co. (Respondent) Case Number: 03-01971 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Patton ("Patton") hereinafter referred to as "Claimant": Ramon A. Pagan, Esq., The Law Offices of Neal Bricknian, New York, NY. Respondent J.P. Morgan Chase & Co. (