NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04061 Charles Schwab & Co., Inc., Claimant vs. William R. Lewis, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared Pro Se, Neptune Beach, FL. DATE FILED: September 18, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to deposit the necessary funds in his account to pay for his pur

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Dandrick P. Me White and Emma M. Nero Names of the Respondents Prudential Securities Incorporated and Sean T. Stein Case Number: 02-05908 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dandrick P. Me White and Emma M. Nero, hereinafter collectively ref

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ann T. Donahue and 02-05904 Phoenix, Arizona Name of Respondents Fidelity Brokerage Services LLC Steven D. Biedermann Fidelity Investments Life Insurance Company Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ann T. Donahue, hereinafter referred to as "Claimant": John J. Nicgorski, Esq.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Scott O. Sarasin and Andrea Sarasin and Names of Respondents Morgan Stanley Dean Witter, Inc. and Kevin Curry Case Number: 02-05903 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Scott O. Sarasin and Andrea Sarasin ("Claimants") were represented by Joel H. Kaufman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark H. Radmanesh, M.D., Claimant v. Advest, Inc. and Al Mance, Respondents Case Number: 02-05902 Hearing Site: Louisville, Kentucky Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Mark H. Radmanesh, M.D., hereinafter referred to as "Claimant": J. Stephen Smith, Esq. Taft, Stettinius & Hollister LLP, 1717 Di

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc. (Claimant) vs. Anthony J. Andresakis and Gloria Andresakis, (Respondents) Case Number: 02-05 892 Hearing Site: New York, New York Nature of Dispute: Member vs. Customers REPRESENTATIQ? Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco, CA. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald E. Tendler and Carrie J. Tendler as Co-Trustees of the Tendler Family Trust dtd 5/14/90, Claimant v. J.P. Morgan Securities Inc., Derek C. Clark, Maurice G. Stuffinann, Jr., and Robert S. Simmons, Respondents Case Number: 02-05889 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marco A. Grijalva, and Rose M Grijalva, individually and as Trustees of the Grijala Family Trust and 02-05888 Phoenix, Arizona Name of Respondents A.G. Edwards & Sons, Inc. John L. Tate Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Marco A. Grijalva, and Rose M Grijalva, individually and as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Pamela A. Miles Revocable Living Trust Pamela A. Miles, Trustee Name of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. andGuyB.Knapp Case Number- 02-05886 Hearing .Site." St. Louis, Missouri TVATTTRF OF TUSPTTTF. Customer vs. Member Firm and Associated Person REpPF.SIT.i TTH\ OF Stuart R. Berkowitz, Esq. of the law firm Platke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05880 Larry D. Cooper Names of the Respondents Hearing Site: Orlando, Florida Clearing Services of America, Inc. Donaldson, Lufkin & Jenrette Securities Corporation Pershing Trading Company, L.P. Dennis E. Sweenor David E. Larue REPRESENTATION OF PARTIES For Larry D. Cooper, referred to as "Claimant": R. Kyle Gavin, Esq. and Gedde