Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Case No. 01-01267 Charles P. Curcio Names of Respondents Mayflower Capital, L.L.C. John David Brothers Diane W. Pace Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Charles P. Curcio, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Law Office of Nicholas D. Thomas, Raleigh, North Carolina. For Mayflo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Steven Malise, (Claimant) vs. A.G. Edwards & Sons, Inc. and Jens Dalsgaard, (Respondents) Case Number: 00-00717 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Steven Malise, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., a sole practitioner, Westbury, NY. Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Jens Dalsgaard ("Dalsgaard"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03123 Douglas S. Dickinson, M.D. Name of the Respondent Hearing Site: Atlanta, Georgia Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Douglas S. Dickinson, M.D., hereinafter referred to as "Claimant": Ralph Bohanan, Jr., Esq., Bohanan & Belt, P.C., Birmingham, Alabama. For Ameritrade, Inc.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03122 Jean B. Young, Claimant vs. Sentra Securities Corp., SunAmerica Securities, Inc., American International Group, Clyde M. Thornburg and Ronald M. Cherry, Respondents. ATTORNEYS: Claimant, Jean B. Young, ("Claimant"), appeared pro se, Sarasota, FL. For Respondents, Sentra Securities Corp., SunAmerica, Inc., American International Group, Clyde M. Thornburg, and Ronald M. Cherry, (collecti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03118 Cedric Wimberly and Rose Wimberly Names of the Respondents Hearing Site: Atlanta, Georgia Sterling Financial Investment Group, Inc., Michael Scott Kaye and Sergio Mariaca Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cedric Wimberly and Rose Wimberly, hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Verrastro and Marlene Verrastro, George Fotiadis, Sr., George Fotiadis, Jr., and Joseph Verrastro (Claimants) v. The Thornwater Company, L. P. and Mario H. Figueroa (Respondents) Case Number: 03-03111 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Verrastro ("T. Verrastro") and Marl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Quick & Reilly, Inc., Claimant v. Andrew Root and Cobum & Meredith, Inc., Respondents Case Number: 03-03110 Hearing Site: Boston, Massachusetts Nature of Dispute: Member v. Associated Person and Member REPRESENTATION OF PARTIES Claimant, Quick & Reilly, Inc., hereinafter referred to as "Claimant": James E. Nealon, Esq., Kelley Drye & Warren, LLP, New York, NY. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 03-03101 Stephen Vaux Names of the RespnnHents Hearing Site- Philadelphia, PA Leonard Fox Janney Montgomery Scott, LLC Dean Witter Reynolds, Inc. n/k/a Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant, Stephen Vaux, hereinafter referred to as "Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Santy and Susan Santy, Claimants v. First Wall Street Corporation and John R. Openshaw, Respondents Case Number: 03-03097 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryville, California For Re

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Manuel Silva, Jr. and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and MarkW. Menard Case Number: 03-03092 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Manuel Silva, Jr. ("Claimant") was represented by Robert L. Rolnick, Esq., Houston, T