Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Cooper") an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-08226 Robynne Brown Christopher R. Malone Names of the Respondents Hearing Site: Washington, D.C. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robynne Brown and Christopher R.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02307 Charles Schwab & Co., Inc. Claimant vs. Amerika Aurre, Respondent. ATTORNEYS: For Claimant, Charles Schwab & Co. Inc. ("Claimant"), appeared Stephen S. Berkeley, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent, Amerika Aurre, ("Respondent"), did not respond to the statement of Claim. DATE FILED: May 19, 1999 CASE SUMMARY: Claimant alleged that Respondent deposi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofClaiinant PaineWebber Incorporated * NameofResDondent Benjamin Miceli 94-01058 Names of Third Party Respondents Joseph Grano Martin Salzman Terry Atkinson James Treadway Robert Donate Donald Marron Paul Guenther Thomas Hayden For Claimant PaineWebber Incorporated ("Claimant") and Third Party Respondents Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the M&tter of the Arbitration Between Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. 94-00844 Name of Respondents/Counter-Claimants Apostolos Sotirades and Constantine Sotirades REPRESENTATION For Claimant/Counter-Respondent: Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch") was represented by Kathy Patrick, Esq. and Barrett H. Rea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between «. Name of Claimant David E. Perry 94-00774 Name of Respondent Emanuel & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1994, Claimant David E. Perry ("Claimant"), who appeared Pro Se, alleged that Respondent Emanuel & Company ("Respondent"), failed to timely deliver to Claimant h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 94-00509 Name of Respondent Michael Lubin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 10,1994, Claimant GKN Securities Corp. ("GKN"), through its representative and general counsel, Katherine Nathan, Esq., alleged that on or about December 10, 1993, Re

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Zinsmeyer Trusts Partnership and Names of Respondents qy- oo PaineWebber, Inc., PaineWebber Group, Inc., Mitchell Hutchins Asset Management, Inc., William J. Reik, Jr., William D. Witter, Inc., Morgan Stanley & Company, Inc. and Kidder, Peabody & Company, Inc. REPRESENTATION OF PARTIES Claimant,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ulric F. Thompson 94-00448 Name of Respondents Thomas James Associates. Inc. William Manzullo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994. Claimant Ulric F. Thompson, who appeared Pro Se, alleged that he purchased 1000 shares of Network Imaging Corp. stock from

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between * Paul W. Slone. Ercell H. Slone. Triangle Auto Sales. Inc.. a New Mexico corporation. Trianle Auto Sales . Inc . Mone Pension Plan. Triangle Auto Sales. Inc. profit Sharing Plan and Paula Romero. custodian for Kristina M. Romero, a minor f Claimants and No. 94 -00219 Dean Witter Reynolds. Inc. . Respondent REPRESENTATION OF PARTI