Award NASD In the Matter of the Arbitration Between: Name of the Claimant Clarence B. Weil Name of the Respondent Prudential Securities, Inc. Case Number: 00-01066 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Clarence B. Weil, hereinafter referred to as "Claimant": Orrin R. Beilly, P.A., West Palm Beach, Florida. For Prudential Securities, Inc., hereinafter referred to as "Respondent": Marissa D. Kelley, Esq., Gree

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Patricia D. Eagan 96-00988 Name of Respondents Raymond, James & Associates, Inc. Investment Management & Research, Inc. Russell Laubinger REPRESENTATION For Claimant, Patricia D. Eagan ("Claimant") Anthony P. Alessi, Esquire from the firm of Concannon Law offices, located in Marshfield, Massachusetts. For Respondents, Investment Management & Research, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 03-1134 and 03-1135 Kenneth Vilcheck, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. Philip H. Brice, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: For Claimants, Kenneth Vilcheck and Philip H. Brice (collectively "Claimant"), appeared Thomas L. Stephenson, Esq., of the firm Nexsen Pruet Jacobs &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00709 Mark B. Lohman Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter Dean Guntner Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For Mark B. Lohman, hereinafter referred to as "Claimant": Stephen D. Spivey, Esq., Ocala, Florida. For Respondents Morgan St

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Paul Hope and 99-01193 Name of Respondents Everen Securities, Inc. n/k/a First Union Securities, Inc. Dennis Oltorik REPRESENTATION OF PARTIES Paul Hope ("Claimant") was represented by Harvey A. Richman, Esq., Cincinnati, Ohio and William Flynn, Esq., Strauss & Troy, Cincinnati, Ohio. Everen Securities, Inc. n/k/a First Union Securities, Inc. ("Responde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02985 Flora L. Crisostomo, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Floro L. Crisostomo ("Claimant"), appeared Pro Se., Reynoldsburg, OH. For Respondent E*Trade Securities, Inc. ("Respondent"), Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc. Menlo Park, CA. DATE FILED: June 29, 1999 CASE SUMMARY: Claimant all

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Christopher Amado Alvarez Case No. 99-00736 Names of Respondents Jon Nonnile Michael G. Hardiman Datek Online Brokerage Services Corp. REPRESENTATION OF PARTIES Claimant Christopher Amado Alvarez ("Alvarez") appeared pro se. , For Respondents Jon Normile ("Nonnile"), Michael G. Hardiman ("Hardiman") and Datek Online Brokerage Services Corporation ("

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Russell R. Roby v. Salomon Smith Barney, Inc. (Respondent). Case Number: 99-00131 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimant, Russell R. Roby, hereinafter referred to as "Claimant": Monte James, Esq., Davis & Davis, PC, Austin, Texas. Respondent, Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Etta Gumbs, Esq., Salomon Smith Barney, Inc.,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert E. Conn Case No. 99-00074 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES For Robert E. Conn, hereinafter referred to as "Claimant": Joel B. McLemore, Esq., Duluth, GA. For Prudential Securities, Inc., hereinafter referred to as "Respondent": William E. Frulla, Esq. of Waring Cox, PLC, Memphis, TN. CASE INFORM

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03713 Judy L. Gulp, claimant vs. Richard Hundchen & H.J. Meyers & Co., Inc., respondents. ATTORNEYS: For Claimant Judy L. Gulp ("Claimant"), Jeff Dennis Ferentz, Esq., Greenbaum & Ferentz, Newport Beach, California. Respondent H.J. Meyers & Co., Inc. ("Meyers"), did not respond to the Statement of Claim. Respondent Richard Hundchen ("Hundchen"), appeared Pro S