NATIONAL ASSOCIATION OF SECURITIES DEALERS p INC. In the Matter of the Arbitration Between x x Stephen P. Maxson x Claimant x x CASE NO. vs. x 90-01986 x U.S. Clearing Corp. x AWARD x Respondent x x CASE SUMMARY Claimant, Stephen P. Maxson ("Maxson"), alleged that Respondent, U.S. Clearing Corp. ("USCC"), failed to timely deposit 10,000 shares of Business Journal of New Jersey, Inc. ("BJNJ") common stock into his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02757 Sheldon and Gertrude Bloom, Claimants v. Kirlin Securities, Inc., Respondent. ATTORNEYS: Claimants, Sheldon and Gertrude Bloom, (collectively "Claimants"), appeared pro se, Staten Island, NY. Respondent, Kirlin Securities, Inc., ("Respondent") appeared through its in-house counsel, Barry M. Bordetsky, Esq., Syosset, NY. Respondent, Robert Lehrman, ("Respondent"), did not respond to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hilary Shane (Claimant) v. First New York Securities, Inc. (Respondent) Case Number: 03-02756 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Hilary Shane ("Shane") hereinafter referred to as "Claimant": David P. Gillett, Esq., Derfher & Gillett, LLP, formerly Derfher & Mahler, LLC, New York, NY. Previously

Award NASD Dispute Resolution, Inc. In tne Matter ol tne Arbitration between: Name of the Claimant Case Number: 00-04519 Randall Allan Krepfle Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Randall A. Krepfle ("Krepfle"), hereinafter referred to as "Claimant": Alice K. Jump, Attorney at Law, New York, New York. For Morgan Stanley Dean Witter, Inc. ("Dean Witter"), hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. Grosso (Claimant) v. First Montauk Securities Corp. and Guy Gebbia (Respondents) Case Number: 03-02755 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James P. Grosso ("Grosso") hereinafter referred to as "Claimant": Charles M. O'Rourke, Esq., Woodbury, NY. Previously appeared pro se.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lilian Heidenberg Reitman (Claimant) v. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Isadore Friedman (Respondents) Case Number: 03-02754 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lilian Heidenberg Reitman ("Reitman") hereinafter referred to as "Claimant": James

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Liavan Mallin (Claimant) v. Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corp., and Peter James Muldowney (Respondents) Case Number: 03-02750 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Liavan Mallin ("Mallin") hereinafter referred to as "Claimant": Arthur M.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff McEachern, Claimant v. Morgan Stanley DW, Inc., Kevin R. Montoya, Wendy L. Eckardt and Terry Nilsen, Respondents Case Number: 03-02746 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert L. Gonser, Esq. Resolution Law Group, P.C. Lafayette, California For R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernard and Arlette Gaet, Claimants v. Spelman & Co., Inc., Victoria E. Williams, Christophe J. Aubin-Nury., and SunAmerica, Inc., Respondents Case Number: 03-02741 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customers v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimants: Gerald S. Clay, Esq. Clay Chapman Crumpton Iwamura & Pulice H

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Charles Casebeer Family Trust, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Arthur T. Doglione, Respondents Case Number: 03-02739 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael S. Paradise, Esq. Law Offices of Michael S. Paradise New York, New Y