Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melinda Trocano and Robert Semenak (Claimants) v. Lehman Brothers, Inc. (Respondent) i CaseNumber: 02-07826 • Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Persons vs. Member. J REPRESENTATION OF PARTIES Claimants Melinda Trocano ("Trocano") and Robert Semenak ("Semenak") hereinafter collectively referred to as "Claimants": Bruce B. Elfvin, Esq., Elfvin & B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-07825 Delva A. Lite Names of the Respondents: Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc., Judy G. Camisa and Carlos Sosa Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Delva A. Lite ("Claimant"), was represented by Benjamin Lapin, Esq., Stoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04287 PaineWebber Incorporated, Claimant vs. Mouna Zubi, Respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island NY. Respondent did not respond to the Statement of Claim. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent purchased stocks and the check that was deposited into Claimant's account to cover the cost was returned f

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-7823 Douglas S. Keefer and Sandra H. Keefer, Claimants vs. Prudential Securities, Inc., Respondent. ATTORNEYS: For Claimants, Douglas S. Keefer and Sandra H. Keefer (collectively "Claimants") appeared W. Edgar Spivey, Esq., of the Law Offices of Kaufman and Canoles, Norfolk, VA. Respondent, Prudential Securities, Inc.("Respondent") appeared through its in-house counsel, Noah D. Sorkin, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimanta Case Number 02-07820 Peter Demos, Jr. and Angelica Sponza Name nf the Respondents H paring Siter Charlotte, NC Joseph Gunnar & Co., LLC Cantella & Co., Inc. Nature of the Dispute: Customers v. Members. RKPRFSFNTATTON OF PARTIES Claimants, Peter Demos and Angelica Sponza, hereinafter referred to as "Claimants", were represented by Sarah G. Anderson,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Suzanne Podesta, Claimant, And 02-07818 Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Phoenix, Arizona Randolph Moore and Steven T. Strong, Respondents. Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Suzanne Podesta was represented by Mark D. Lammers of Anson, Lammers & Barkley, P.C., Tucson, Arizo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Brian Douglas Pauley and 02-7815 Chicago, Illinois Name of Respondents Wachovia Securities Inc. and American Funds Distributors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Brian Douglas Pauley ("Claimant"), located in Winnebago, Illinois was pro se. American Funds Distributors, Inc. ("American"), located in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Cecelia Randall vs. 02-07812 Omaha, Nebraska Names of Respondents U.S. Bancorp Piper Jaffray, Inc., Michael S. Wetrich and Michael D. Cole NATURE OF DISPUTE Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Cecelia Randall ("Claimant") was represented by Thomas W. Clayton, Esq., of Sioux Falls, South Dakota. U.S. Ba

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: of the Claimant Jeffrey Salverian Names nf the Respondents Morgan Stanley DW Inc. and Francis J. Ciabattoni Case Number- 02-07811 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTIES Claimant, Jeffrey Salverian ("Salverian"), hereinafter referred to as "Claimant", was repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07809 Marshall R. Lustig, Claimant vs. Merrill Lynch, Pierce, Fenner and Smith, Inc., and Michael Kelly, Respondents. ATTORNEYS: Claimant, Marshall R. Lustig, ("Claimant") appeared pro se., Dallas, TX. Respondents, Merrill Lynch, Pierce, Fenner and Smith, Inc., and Michael Kelly, (collectively "Respondents"), appeared through their in-house counsel, Yosef Sinensky, Esq., New York, NY. DA