Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Orlandi (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald Pizzutello, and Michael Pizzutello (Respondents) Case Number: 02-05864 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard Orlandi ("Orlandi") hereinafter referred to as "Claimant": Bruce D. Oakes,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Countcrrespondent Case Number: 02-05863 Charles Schwab & Co., Inc. Name of the Respondent/Counterclaimant Hearing Site: Chicago, Illinois Terry M. Myers Type of Controversy: Member Firm v. Customer REPRESENTATION OF PARTIES Claimant/Counterrespondent Charles Schwab & Co., Inc. ("Charles Schwab") was represented by Brandon K. Hemley, Esq. in-house counsel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Paul Joyce and Joanne Joyce Case Number: 02-05861 Name of the Respondents Hearing Site: New York, NY Morgan Stanley Dean Witter Inc. Thomas L. Tartaglia, Jr. REPRESENTATION OF PARTIES Claimants Paul Joyce ("P. Joyce") and Joanne Joyce ("J. Joyce"), hereinafter collectively referred to as "Claimants": J. Anklowitz, Esq., Law Offices of J. Anklowitz, Bohe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04059 Thomas Edward Gallup, Claimant vs. VMR Capital Markets, U.S., Respondent. ATTORNEYS: Claimant, Thomas Edward Gallup, ("Claimant") appeared Pro Se, Torrance, CA. *( For respondent appeared James A. Shalvoy, Esq., Manhattan Beach, CA. DATE FILED: September 18, 2000. CASE SUMMARY: Claimant alleged that Respondent failed to pay him for the time that he worked from February 1,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Milligan and Ian Milligan (Claimants) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Eric Behr, John Chatmas, and Jack Grubman (Respondents) Case Number: 02-05860 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gerald Milligan ("G. Milligan") and Ian Millig

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elyse Fradkin (Claimant) v. UBS PaineWebber, Inc. n/k/aUBS Financial Services, Inc. and Arlene Kaplan (Respondents) Case Number: 02-05859 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Elyse Fradkin ("Fradkin") hereinafter referred to as "Claimant": John Lawrence Allen, Esq., Law Offices of Jo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dr. Henry Steig Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Donald H. Pizzutello Michael P. Pizzutello Case Number: 02-05857 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Henry Steig, hereinafter referred to as "Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Judy Tomchey, Judy C. Tomchey IRA/Roll, Ms. Judy Tomchey Per Rep Est Charles W. Tomchey and 02-05855 Nashville, Tennessee Name of Respondents Washington Square Securities, Inc. Catherine M. Nolen Prudential Securities Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05851 Bennett and Rita Musick Bennett Musick Bennett Musick IRA Rita Musick Rita Musick IRA Name of the Respondent Hearing Site: Orlando, Florida Raymond James Financial Services, Inc. REPRESENTATION OF PARTIES For Bennett and Rita Musick, Bennett Musick, Bennett Musick IRA, Rita Musick, and Rita Musick IRA, collectively ref

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nubia Garrido (Claimant) v. Quest Capital Strategies, Inc. and Sean P. Brown (Respondents) Case Number: 02-05845 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Nubia Garrido, hereinafter referred to as "Claimant": Marcella Silverman, Esq., Lincoln Square Legal Services, Inc., New York, NY.