Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Brown, Claimant vs. A.G. Edwards & Sons, Inc. and Steven Todd Zeller, Respondents Case Number: 03-01526 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: James Jay Seltzer, Esq. The Law Offices of James Jay Seltzer Emeryville, California Clay L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anil Malik, Individually and as Trustee to the Malik Family Trust, dated November 5, 1994, and Anupam Malik, Individually and as Trustee to the Malik Family Trust, dated November 5,1994, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 03-01524 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member REPRESENTATION OF P

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Randall P. Herman and Sharron FitzGerald v. 03^01523 Minneapolis, Minnesota Respondents Paul Kuehn and Bill Kuehn Nature of Dispute: Customers v. Associated Persons REPRESENTATION OF PARTIES Randall P. Herman and Sharron FitzGerald ("Claimants") were represented by Thomas E. Jamison, Esq., of Fruth, Jamison & Elsass, P,A., Minneapolis, Minnesota. Paul Ku

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04468 Joseph and Adeline Palumbo, claimants vs. Advest Inc., John Banks, and Grant Curtz, respondents. ATTORNEYS: Claimants appeared Pro Se, Holbrook, NY. For Respondents appeared Thomas P. Byrne, Esq., in-house counsel, Hartford, CT. DATE FILED: October 9, 2000 CASE SUMMARY: Claimants alleged that Respondents made misrepresentations and guarantees hi connection with their inves

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01522 Paula K. Partipilo Name of the Respondents Hearing Site: Chicago, Illinois Credit Suisse First Boston Corp. and William Thorns Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Paula K. Partipilo ("Partipilo") or ("Claimant") was represented by James J. Moylan, Esq. of the firm Jam

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01520 Shaolee Yang, Claimant vs. Legg Mason Wood Walker, Inc., and Stephen Wong, Respondents. ATTORNEYS: For Claimant appeared Brad Jacobs, Esq., of the firm Perkins, Smith & Cohen, LLP, Boston, MA. For Respondents appeared in-house counsel, Jessica B. Hopper, Esq., Baltimore, MD. DATE FILED: March 3, 2003 CASE SUMMARY: Claimant alleged that Respondents breached their contract and fiduci

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-01519 Giovanni Oliva Wilma Angeleri Names of the Respondents Hearing Site: Boca Raton, Florida William O. Day, IE Jackie McDaniels Karl W. Hamilton Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Giovanni Oliva and Wilma Angeleri, hereinafter collectively referred to as "Claimants"; Frederico

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESQLtfTION CASE: 03-01518 Maxim Group, LLC, Claimant vs. John Van Clief, Respondent. ATTORNEYS: "~ For Claimant appeared in-house counsel, James, B. Siegel, Esq., Woodbury, NY, Respondent did not respond to the Statement of Claim. DATE FUJBD: March 3 7 2003 ~ ~~" CASE SUMMARY: Claimant alleged that Respondent has failed to repay monies owed being an amount paid to him in excess commissions, and a b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cheryl Jimerson (Claimant) v. InvestPrivate, Inc. and Scott Mathis (Respondents) Case Number: 03-01515 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Jimerson ("Jimerson") hereinafter referred to as "Claimant": Maris A. Godwin, Esq., previously Michael T. Conway, Esq., Lazare Potter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David DiRusso and David DiRusso c/f Gavin DiRusso (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kurt C. Jackson (Respondents) Case Number: 03-01513 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David DiRusso ("DiRusso") and David DiRusso c/f Gavin DiRusso ("DiRusso Custodian")