Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Janney Montgomery Scott LLC (Claimant) vs. Gary R. Gross, (Respondent) and Janney Montgomery Scott LLC (Claimant) vs. John M. Mulvihill (Respondent) Case Number: 99-04278; consolidated with 99-04279 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Janney Montgomery Scott LLC ("Janney"): Richard A. Purkiss, Senior Vice President, Janney Montgomery

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Fishman, as Trustee of the Local 144 Service Employees International Union Staff Pension Plan, (Claimant) vs. Salomon Smith Barney Asset Management, Inc. and Smith Barney Asset Management, Inc., (Respondents) Case Number: 99-04276 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Fishman, as Trustee of the Local 144 Service Employees Internat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., (Claimant) vs. Kevin Blackburn, (Respondent) Case Number: 99-04260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dean Witter Reynold, Inc., hereinafter referred to as "Claimant": Kevin B. Walker, Esq., Bressler, Amery & Ross, Morristown, NJ. Respondent, Kevin Blackburn, hereinafter referred to as "Respondent": Brian J. Neville,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE:99-04258 David J. Cherry, claimant vs. Salomon Smith Barney, Inc. and Robert J. Schmidt, respondents. ATTORNEYS: Claimant David J. Cherry, appeared Pro-Se, Manasquan, NJ Respondent Robert J. Schmidt, appeared Pro-Se, Pittstown, NJ For respondent Salomon Smith Barney Inc. appeared, in house counsel, Ann Parry, Esq., New York, NY DATE FILED: September 16, 1999 CASE SUMMARY: Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Shapiro, Claimant v. Chris Hasselgren and Quick & Reilly, Inc., Respondents Case Number: 99-04257 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Scott L. Gilmore, Esq. Hill, Farrer & Burrill, LLP Los Angeles, California For Respondents: Brian McSherry, Esq. Quick and Reilly, Inc. New York, New York CASE INFORMATION Stat

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant The Zoe M. Gregg Trust UA dtd 2/27/92 Case No. 99-04256 Names of Respondents Mary Ann Logan n/k/a Mary Ann Finneran Sigma Financial Corporation Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For The Zoe M. Gregg Trust UA dtd 2/27/92, hereinafter referred to as "Claimant": David J. Baron, Esq., Fergeson, Skipper, Shaw, Keyser, Ba

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Name uf Claimant The Zoe M. Gregg Trust UA dtd 2/27/92 Case No. 99-04256 Names of Respondents Mary Ann Logan n/k/a Mary Ann Finneran Sigma Financial Corporation Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For The Zoe M. Gregg Trust UA dtd 2/27/92, hereinafter referred to as "Claimant"; David J, Baron, Esq., Fergeson, Skipper, Shaw, Keyser, Baron & Ti

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Products, Inc. vs. Case No. 99-04254 Name of Respondents First Madison Securities, Inc. Steven Rasco Ray Vahab REPRESENTATION OF PARTIES Claimant, Charles Products, Inc., hereinafter referred to as "Claimant": Arthur M. Schwartzstein, Esq. McLean, Virginia Respondents, First Madison Securities, Inc. ("First Madison"), Steven Rasco ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Swaffer, (Claimant) vs. Providential Securities, Inc., Henry Fahman, Southwest Securities, Inc., and Penson Financial Services, Inc., (Respondents) Case Number: 00-05474 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Richard Swaffer, hereinafter referred to as "Claimant": James A. McGurk, Esq., Law Office of James A. McGurk, Chicago, IL. Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Yale and Barbara Ladenheim Case No. 99-04250 Names of Respondents CIBC Oppenheimer Corp. Roland G. Auclair Russell W. Newton Merit Capital Associates, Inc. REPRESENTATION OF PARTIES For Yale and Barbara Ladenheim, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Hollywood, Florida. .," .. v ,^ : ,