AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harriet Wassner Leinwand and 03-00259 Tucson, Arizona Name of Respondents A.G. Edwards & Sons, Inc. Harvey T.Bart Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harriet Wassner Leinwand ("Claimant") was represented by Richard S. Hudgins, Esq., Slosser, Hudgins, Struse & Freund, P.L.C., Tucson, Arizona.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-00257 Suzanne E. Rocheleau, Claimant vs. CIBC World Markets Corporation, Respondent. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel, Michelle Murphy, Esq., New York, NY. DATE FILED: January 13, 2003 CASE SUMMARY: Claimant alleged that Respondent entered inaccurate reasons for her termination on her Form U-5, and requested the expungement of th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Qimat R. Goyal, (Claimant) vs. Fimat USA, Inc., Fimat Futures USA, Inc., Fimat International Banque, S.A., Stephen L. Forman, and Stephen Bergan, (Respondents) Case Number: 00-04320 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Qimat R. Goyal, hereinafter referred to as "Claimant", appeared pro se. Previously represented by: Eric J. Sussman, Esq., a sole

stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Frances Decarlo Case No. 00-00041 Names of Respondents Advest, Inc. Stephen Constantine REPRESENTATION OF PARTIES For Frances DeCarlo ("DeCarlo"), hereinafter referred to as "Claimant**: Russell C. Silverglate, Esq., Dickenson, Murdoch, Rex & Sloan, P.A., Boca Raton, Florida. For Advest, Inc. ("Advest**) and Stephen C. Constantine ("C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Bellrose (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Dale Kramer (Respondents) Case Number: 03-00256 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Howard Bellrose ("Bellrose") hereinafter referred to as "Claimant": Michael H. Ference, Esq., Sichenzia

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert G.Wilson and Names of Respondents Sigma Financial Corporation, Larry J. Mathewson, Jerome S. Rydell, Michael J. Brooks, and Mathewson & Associates, Inc. Case Number; 03-00254 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Robert G. Wilson ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00247 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Robert Bell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Flo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kimberly C. Marcucci, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Marsha Kemppainen, Respondents Case Number: 03-00244 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Charles Flynn, Esq. Burr, Pease & Kurtz Anchorage, Alaska For Respondents: Dennis K. Egan, Esq. Bu

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Scott W. Roberts, Steven D, Roberts, and Shauna M. Roberts, as Trustees for and on behalf of the Revocable Trust of Donald V. Roberts, Steven D. Roberts, individually, and as Trustee for and on behalf of the Wendy Jean Roberts Trust, Margot B.J. Roberts, individually, and Shauna M. Roberts, individually v. 03-00236 Minneapolis, Minnesota R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00233 Ronald A. Pickering Olivia Pickering Names of the Respondents Hearing Site: Boca Raton, Florida LH Ross & Company, Inc. Fernando Fernandez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald A. Pickering and Olivia Pickering, hereinafter collectively referred to as "Claimants"