Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 02-07876 Harold McNeill Mann* nf the Respondents Tearing Siter Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer v. Member. RFPRFSFNTATTON OF PARTTF.S Claimant, Harold McNeill, hereinafter referred to as "Claimant", was represented by L. Bruce McDaniel, Esq., McDaniel & Anderson, LLP, Raleigh, North Carolina. Respondent,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert L. and Ginger Strausbaugh vs. 02-07873 Louisville, Kentucky Names of Respondents H&R Block Financial Advisors, Inc., fk/a Olde Discount Corporation, Greg W. Ruber, Kyle E. Higgason, and Leo A. Gies, HI Nature of the Dispute: Customers vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Robert L. and Ginger Strausbaugh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnmi» nf thft Claimant Paofi Niimhgr 02-07865 Estate of H. Charlene Wiedeman by and through Robert Wiedeman, Executor Names of the Respnrujpnfs PMTJTIP Site' Philadelphia, PA Morgan Stanley DW, Inc. JangSyal Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSF.NTAT10N OF PABTTF.S Claimant, Estate of H. Charlene Weideman, by and through Ro

Award NASD Dispute Resolution In the Matter of Karalee K. Wur Richard L. Kerbs he Arbitration Between: ter, FBO Gerald Scott Wurster Trust and Carl F. Wurster, TTEE, Claimants v. and Brookstreet Securities Corporation, Respondents Case Number: (X!-07862 Hearing Site: Salt Lake City, Utah Nature of Disput For Claimants: Customers v. Associated Person and Member Firm REPRESENTATION OF PARTIES Karalee K. Wurster In Pro Se Bo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07860 Orysia and Maria Iwasiw, JNT and Orysia Iwasiw, Roth IRA, Claimants v. Bruce E. Rich, Adam Forman, and Dante Callicchio, Respondents. ATTORNEYS: Claimants, Orysia and Maria Iwasiw, JNT and Orysia Iwasiw, Roth IRA, ("Claimants"), appeared pro se, Garden City, NY. Respondents, (collectively "Respondents"): Respondent, Bruce Rich, ("Rich"), appeared pro se, Boca Raton, FL. Formerly re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07858 Joy D. Allen, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph Vazza, and Brigita Rumpeters, Respondents. ATTORNEYS: For Claimant, Joy D. Allen, ("Claimant"), appeared Howard W. Hirschhorn, Matawan, NJ. For Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph Vassa, and Brigita Rumpeters, (collectively "Respondents"), appeared Rebecca A. Frost, Esq. of the fir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant P.ase Number- 02-07857 Zachariah K. Mathai Name of the Respondent Hearing Site: Philadelphia, PA Prudential Insurance Company of America Nature of the Dispute: Associated Person vs. Member. RFPRFSFNTAT1ON OF PARTTFS Claimant, Zachariah K. Mathai, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, Prudential Insuran

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Pase Number 02-07855 Gerald C. Becker Joanne M. Becker Names of the "Respondents Hearing Site: Pittsburgh, PA Paine Webber, Inc. n/k/a UBS Financial Services, Inc. and Randolph C. Stoltz Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Gerald C. Becker and Joanne M. Becker, hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pinf the Claimant Case Number- 02-07848 George Aubrey es of the Respondents Hearing Site: Pittsburgh, PA Lehman Brothers, Inc. Kenneth N. Goldman David A. Gruber Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, George Aubrey, hereinafter referred to as "Claimant", was represented by Frank Viola, Esq., Viola, Benede

Award NASD Dispute Resolution Tftf*. -. In the Matter of the Arbitration Between: ""* "° A g: §c Shafiq Hasan, Trustee for the Pro-Guard International, Inc. Pension Fund and Pro-Guattfu ! SF^^M, - International, Inc., Claimants v. First Union Securities n/k/a Wachovia Securities Inc., ~" L "- -S ;,c; Respondent Case Number: 02-07847 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF