NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06978 Ian Rogers, claimant vs. Laurie Rechholtz, respondent. ATTORNEYS: For Claimant appeared Curt Roy Hineline, Esq., of the firm Dorsey & Whitney, LLP, Seattle, WA. Respondent appeared pro se, Seattle, WA. DATE FILED: November 19, 2002 CASE SUMMARY: Claimant requested expungement of a customer complaint from his CRD record. Claim Data Award Data Claim: Expungement Award: De

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06972 Ryan and Jamie McCabe, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared pro se, San Diego, CA, For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. DATE FILED: November 18, 2002 CASE SUMMARY: Claimants alleged that respondent failed to properly transfer shares of ATCO into the appropriate accounts. Claimants maintained tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Mortorano (Claimant) v. Ladenburg Capital Management (Respondent) Case Number: 02-06969 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Michael Mortorano ("Mortorano") hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Attorney at Law, Newark, NJ. Respondent Ladenburg Capital Management ("LCM") h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number Frank Stams 02-06965 Names of Respondents Hearing Site Morgan Stanley Dean Witter and Daniel Strebler Cleveland, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Stams ("Stams"), hereinafter referred to as "Claimant," was represented by Robert Bertsch, Esq. of Bertsch & Asso

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Raso (Claimant) v. Fidelity Brokerage Services, LLC (Respondent) Case Number: 02-06964 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael J. Raso ("Raso") hereinafter referred to as "Claimant": David Rapaport, Esq., Rapaport & Rapaport, Boston, MA. Respondent Fidelity Brokerage Services,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Track Data Securities Corp. (Claimant) v. Cantor Fitzgerald & Co. (Respondent) Case Number: 02-06963 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Track Data Securities Corp. ("Track Data") hereinafter referred to as "Claimant": Robert P. Bramnik, Esq. and James C. Yong, Esq., Duane Morris, LLC, Chicago, IL. Previou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Southfield Investors, Limited Partnership (Claimant) v. Goldman, Sachs & Co., Jack H. Hayflick, Richard M. Sincerbeaux, Jeffrey Goldenberg, Josephine Linden, Bobbie M. Rothberger, Goldman Sachs Asset Management, Goldman Sachs Funds Management, Goldman Sachs International Limited, Goldman Sachs Asset Management International, and Goldman Sachs Asset Management Japan Limited (Respondents)

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen S. Lowe (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and William Granville Dilley (Respondents) Case Number: 02-06960 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Karen S. Lowe, hereinafter referred to as "Claimant": Stephen P. Meyer, Esq., Meyer & Meyer & Ford, Charleston, WV. Respondents, Merrill Lynch, Pierce, Fanner & Smith I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pfoimant Cfl*?fi ]\[^]nhfir- 00-04163 Roal Global Corporation p n f th ff pp-gpnnfojrt H p m"JT?5 Sifr" Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant Roal Global Corporation, hereinafter referred to as "Claimant": Anthony A. Petrocchi, Esq., of Weil & Petrocchi, P.C., located in Dallas, Texas. Respondent Merrill Lynch, Pierce, Fenner & S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00431 Rick Tyler, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Lubbock, TX. For Respondent appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: February 1, 2000 CASE SUMMARY: Claimant alleged that respondent failed to properly execute a market order for 25 contracts of the November 144 QUE calls by using the wrong