Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter P. Tureski, (Claimant) v. New England Securities Corporation, T.P. Luss & Company and Tomas P. Luss, (Respondents) Case Number: 01-003973 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter P. Tureski, hereinafter referred to as "Claimant": Gregory Scott Goodman, Esq., Goodman & Goodman, Mount Sinai, NY. Respondents, New England Securities

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yvonne Martens, Claimant v. WMA Securities, Inc., Lawrence Ronald Legind, and Steak Lovers, L.C., Respondents Case Number: 00-02270 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent WMA Securities, Inc.: For Respondent Lawrence Ronald Legind: For Respondent Steak Lovers, L.C.: Martin E. Dack, Esq. Law Offices of Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bryan E. Wallace, Claimant Vs. Ameritrade, Inc., and Advanced Clearing, Inc., Respondents. Case Number: 00-01706 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant Bryan E. Wallace ("Wallace") was represented by C. William Brownfield, Esquire, of C. William Brownfield & Associates, Columbus, Ohio. Respondent Ameritrade, Inc., ("Ameritrade")

NASD Dispute Resolution, Inc. Ir> ; Matter of the Arbitration Between Name of Claimant Rose Levitt Case No. 00-01233 Names of Respondents J. B. Hanauer & Co. Gregory Brooks REPRESENTATION OF PARTIES For Rose Levitt, hereinafter referred to as "Claimant": Jeffrey Erez, Esq. of Sonn & Associates, P.A., Fort Lauderdale, Florida. For J.B. Hanauer & Co. ("J.B. Hanauer"): David L. Lichter, Esq. of J.B. Hanauer & Co., Miami, Florida. For Gr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lynn Berman, as Trustee for the Berman Family Trust (Claimant) vs. Solomon Smith Barney, Inc., and Rick Philllips (Respondent). Case Number: 00-00541 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Lynn Berman, as Trustee for the Berman Family Trust ("Claimant"): Kimberly M. Hult, Esq.: Hutchinson Black and Cook, LLC., located in Boulder, CO. Respond

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kevin Smyth Case No. 00-00440 Names of Respondents Morgan, Taylor & Associates, Inc. Jeffrey Harold Supinsky Alfred Palagonia John Ludemann Gregory Small REPRESENTATION OF PARTIES For Kevin Smyth, hereinafter referred to as "Claimant": Michael P. Gilmore, Esq., Wexler & Burkhart, P.C., Mitchel Field, New York. On or about January 26,2001, Michael

Order of Dismissal NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jorge B. Rio (Claimant) v. D.H. Blair & Co., Inc. and James M. Povinelli, (Respondents) Case Number: 00-00313 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Jorge B. Rio ("Rio"): pro xe. Respondent D.H. Blair & Co., Inc. ("D.H. Blair") and James M. Povinelli ("Povinelli") hereinafter collectively referred to as "Respondents": John T.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Susan M. Larson Case No. 00-00310 Name of Respondents Hobert & Svoboda, Inc.; and Leonard Hobert REPRESENTATION OF PARTIES Claimant Susan M. Larson ("Larson") was represented by Susan G. Schellinger, Esq. of the firm of Davis and Kuelthau, S.C., located in Milwaukee, Wisconsin. Respondents Hobert & Svoboda, Inc. ("HSI") and Leonard Hobert ("Hobe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph E. Borsch, Claimant Case Number: 00-00237 Vs. Hearing Site: Louisville, Kentucky Bane One Securities Corporation and Alan Stout, Respondents. REPRESENTATION OF PARTIES Claimant Joseph E. Borsch ("Borsch") was represented by B. Frank Radmacher, III, Esquire, Louisville, Kentucky. Respondents Bane One Securities Corporation ("Bane One") and Alan Stout

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Mua D. Tran, (Respondent). Case Number: 99-02765 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. "Claimant": Mauricio S. Beugelmans, Esq. Charles Schwab & Co., Inc. San Francisco, California Mua D. Tran "Respondent": Did not appear. CASE INFORMATION Statement of Claim filed on