Award NASD Dispute Resolution In the JVlatter of the Arbitration Between: Names of the Claimants Case Number: 02-07563 Robert N. and Margot G. Boll, JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Richard Bradley Watson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert N. and Margot G. Boll ("Bolls"), hereinafter referred to as "Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa N. Goldberg, Lisa Novick Goldberg Custodian for Margaret N. Goldberg, and Lisa N. Goldberg IRA (Claimants) v. Fahnestock & Co., Inc. and Bruce Kurchack (Respondents) Case Number: 02-07551 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Lisa N. Goldberg ("L. Goldberg"), Lisa Novick Goldbe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Allen and Lena Aron and 02-07546 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., and Darren A. Golde Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Allen and Lena Aron ("Claimants") were represented by Howard B. Prossnitz, Esq., Law Office

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-07538 Charles G. Snyder Name r>f the Respondents Rearing Site: Baltimore, MD Legg Mason Wood Walker, Inc. Patrick F. Miller Nature of the Dispute: Customer v. Member and Associated Person RFPRFSFNTATTON OF PARTIES Claimant, Charles G. Snyder ("Claimant"), was represented by James H. West, Esq., West & Moore, LLC, Baltimore,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07537 James A. and Rose B. Celone, Claimants vs. UBS PaineWebber, Inc., Respondent. ATTORNEYS: Claimants James A. and Rose B. Celone, (collectively "Claimants"), appeared Pro Se., Marco Island, FL. Respondent, UBS PaineWebber, Inc. ("Respondent") appeared through its in-house counsel, Vincent J. Oliva, Esq., Weehawken, NJ DATE FILED: December 13, 2002 CASE SUMMARY: Claimant alleged t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy M. Kepner (Claimant) v. Lawrence Brockman and Robert S. Bagby (Respondents) Case Number: 02-07533 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Nancy M. Kepner ("Kepner") hereinafter referred to as "Claimant": C. William Brownfield, Esq., Columbus, OH. Previously pro se. Respondents Lawrence Brockma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04264 Ferris Baker Watts, Inc., Claimant vs. Ido and Thelma Colantuoni, Respondents. ATTORNEYS: For Claimant appeared Theodore W. Urban, Esq., Ferris, Baker Watts, Inc., Washington, DC. Respondents appeared Pro Se, McLean, VA. DATE FILED: September 27, 2000 CASE SUMMARY: Claimant alleged that Respondents failed to repay a debit balance created in their account from May 2000 when Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07531 Juliana Yau Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc., a Delaware corporation, and Jim King Mui Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Juliana Yau, hereinafter referred to as "Claimant": Steve Goerke, Esq., Law Offices of M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Names of the Respondents Telaro Securities, Inc. Ralph A. Durante A.G. Edwards & Sons, Inc. Brian Quinn Case Number: 02-07529 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald Herr and Carly Peterson f/k/a Carly Herr, hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Murray and Patricia Murray and The Murray Family Trust, UA DTD 08/19/93 Claimant v. Prudential Securities, Inc., Respondent Case Number: 02-07528 Hearing Site: Los Angeles, California Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California Christopher