Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03430 Lori Ransohoff, Individually and as Trustee of the Joseph Ransohoff Pension Trust Special, as Trustee for the Jade I. Ransohoff Trust, as Trustee for the Jack C. Ransohoff Trust and as Trustee of the Ransohoff Pension Trust Names of the Respondents Hearing Site: Tampa, FL Southern Portfolio Advisors, Inc. Southern Capital Ente

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-01306 Lucy I. Maurer, claimant vs. Mutual of Omaha Investor Services and Wilton D. Johnson, respondents. ATTORNEYS: Claimant appeared pro se, Roanoke, VA. For Respondents appeared Christian E. Bryan, Esq., in-house counsel, Omaha, NE. DATE FILED: March 16, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented facts about the suitability of the investments they rec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frida Alter, Individually and as Trustee of the Frida Alter Living Trust (Claimant) v. PaineWebber, Inc., n/k/a UBS PaineWebber, Inc., (Respondent) Case Number: 00-00718 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Frida Alter, Individually and as Trustee of the Frida Alter Living Trust ("Alter"): Steven J. Rotunno, Esq., Kubasiak, Cremieux, Frylstra,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeanne Rae Elias Linda Elias Thomas Name of the Respondent Morgan Stanley DW, Inc. d/b/a Morgan Stanley Case Number: 03-03428 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeanne Rae Elias and Linda Elias Thomas, hereinafter collectively referred to as "Claimants": Jeffrey Sonn,

I f STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Klucsartis v. 03-03425 Denver, Colorado Respondents David S. Hauptman, Richard Owens, Cathy Owens Thomas Smith, Debra Smith, Gereon Fredrickson and Roxanne Fredrickson NATURE OF DISPUTE Associated Person v. Customers REPRESENTATION OF PARTIES Thomas Klucsartis ("Claimant") was represented by Stephen D. Bell, Esq., of Dors

Stipulated Award NASD Dispute Resolution 3n the Matter of the Arbitration Between: Name nf the Claimant Case Number 03-03424 Gary Romett Nrnne of the Respondents Hearing Site- Philadelphia, PA Credit Suisse First Boston Corporation Shawn Hartpence Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PARTTRS Claimant, Gary Romett, hereinafter referred to as "Claimant", was represented by Steven H. Berkowitz, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between i Names of Claimants ' John and Marylyn DeFilippo and Case Number: 03-03423 Hearing Site: Houston, Texas Names of Respondents CIBC World Markets Corp., Christopher A. Zook, Jr., James Casey Hodges, and CAZ Investments NATURE OF DISPUTE Customers v. Member Firm, Associated Persons and Non-Member Firm REPRESENTATION OF PARTIES John and Marylyn DeFilippo ("Cl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Wallace Kleven and David Kleven v. 03-03422 Minneapolis, Minnesota Respondents Edward D. Jones & Company and Joseph D. Farrell Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Wallace Kleven and David Kleven ("Claimants") were represented by Sidney J. Spaeth, Esq., of Vogel, Weir, Hunke & McCormick, LTD, Fargo, North Dak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas D. Mecca, Efterpe K. Mecca, and Abbey, Mecca and Company, Inc. (Claimants) v. S. C. Parker & Company, Inc., Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., and Anthony J. Muscarella (Respondents) Case Number: 03-03419 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Ni

Hfcj v v c/ v v i Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; *. Claimants r p*e>. Number 03-03414 Thomas D, Johannson Aim Tiptcn Johannson Nmngg. «Fthe R wjicmelgit-s Hearing Site: Baltimore, MT) Bruce S. Dunham, ffl Mark D. Stevens Jesse P. Boyd David J. Dukeharl Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customers vs. Member and Associated Persons. OF PARTIES C