NASD Dispute Resolution In the Matter of the Arbitration Between: SHEILA MYRCIK, ) Claimant, ) v. ) NASD-DR Case No.: 02-6702 BANC ONE SECURITIES ) CORPORATION, DAVID DOSIK, ) EDWARD COTTRELL, DEREK S. ) CHATTERTON and DAVID E. ) MILLER, ) Respondents. ) REPRESENTATION OF PARTIES Sheila Myrcik (hereinafter referred to as "Claimant") was represented by Martin Q. Ryan, Esq. of Mora, Baugh, Waitzman & Unger, L.L.C. located in Chicago, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namg-Qf thf P]fljfflflTit/r i ni]ntpr.-ppspnnfipnl Pagft Nnmhpr: 02-06701 Salomon Grey Financial Corp. p I3ftspnnrf^t/Pniintftr-P1fl|rnaiit Hearing-Site: Dallas, Texas Patrick F.Harte, Jr. KFPRF.SF.NT ATTON ny Claimant/Counter-Respondent Salomon Grey Financial Corp., hereinafter referred to as "Salomon": Belinda Goss, Esq. of Salomon Grey Financial Corp., located in Dall

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 02-6695 First Republic Group, LLC, Claimant v. Peter Bisulca, Respondent. ATTORNEYS: For Claimant, First Republic Group, LLC, ("Claimant"), appeared Michael S. Colombo, President/CEO, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent, Peter Bisulca, ("Respondent"), appeared pro se, Bohemia, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 6, 2002 ~

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lydia Maxwell Feinstein (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Stephen L. Wolferman (Respondents) Case Number: 02-06692 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lydia Maxwell Feinstein ("Feinstein") hereinafter referred to as "Claimant": I. Stephen Rabin, Esq., Rab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome Fine and Jerome Fine IRA (Claimants) v. Patricia Wolff Schaen and Wolff Investment Group, Inc. (Respondents) Case Number: 02-06691 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jerome Fine ("Fine") and Jerome Fine IRA ("Fine IRA") hereinafter collectively referred to as "Claimants" ap

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Andree Caroline Andree Richard and Caroline Andree Names of the Respondents StockDr.Com, Inc. Wealth Management Financial Group Lee A. Siler Michael S. Gold Case Number: 02-06690 Hearing Site: Orlando, Florida Nature of the Dispute: Customers vs. Non-Members and Associated Persons. REPRESENTATION OF PARTIES For Richard A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04136 Joseph Orlando, Claimant vs. Preferred Securities, Inc., Vic Lessinger, David Barr, Robert Vitale and Sixto Durand, Respondents. ATTORNEYS: For Claimant appeared Michael H. Ference, Esq., of the law firm Sichenzia, Ross & Friedman LLP, New York, NY. For Respondents Preferred Securities, Inc., Vic Lessinger, David Barr, and Robert Vitale appeared Carole R. Bernstein, Esq.,,Wes

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00429 Joseph A. Modica, claimant vs. Morgan Stanley Dean Winer f/k/a Discover Brokerage, respondent. ATTORNEYS: Claimant Joseph Modica appeared Pro Se, Naples, FL. For Respondent Morgan Stanley Dean Witter f/k/a Discover Brokerage appeared, in house counsel, Judith M. Rosenberg Esq., San Francisco, CA DATE FILED: February 1, 2000 ~~ " ~~ CASE SUMMARY; Claimant alleged his 400 s

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06689 Leonard L. Levenstein Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. and Michael S. Bell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leonard L. Levenstein, hereinafter referred to as "Claimant": Jeffrey P. Shapiro, Esq., Shapiro Ramos, P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Aaron Greenberg and Concetta Greenberg Names of the Respondents John A. Briggs, Raymond James & Associates, Inc. and UBS PaineWebber, Inc. Case Number: 02-06688 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Aaron Greenberg and Concetta Greenbe