Award NASD Dispute Resolution In the Matter of the Arbitration Between: Preston Paul White, Case Number: 02-05601 Claimant, vs. NY Life Securities, Inc., Hearing Site: Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. Claimant Preston Paul White, hereinafter referred to as "Claimant," was represented by Thomas Allen Filo, Esq. of Cox, Cox, Filo & Camel located in Lake Charles, Louisiana.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04031 Charles Schwab & Co., Claimant vs. John B. Arnold, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., ("Claimant"), appeared through its in-house counsel Brandon K. Hemley, Esq., San Francisco, CA. Respondent, John B. Arnold ("Respondent"), appeared Pro Se, Baton Rouge, LA. DATE FILED: September 14, 2000. CASE SUMMARY: Claimant alleged Respondent failed to provide the nec

01/16/02 13:28 PAI 512 236 0239 OFFICE OF DISPUTE RES 31002/010 NASD DISPUTE RESOLUTION, INC. STIPULATED A WARD IN THE MATTER OF THE ARBITRATION BETWEEN Name of Claimants RQBEJIT E. AND SUZANNE R. STUBBLEFIELD NASD Case No. 00-00411 Names of Respondents A-G- EDWARDS & SONS, INC. ANDDONKAINER REPRESENTATION OF THE PARTIES Claimants Robert E. and Suzanne R. Siubblefield: William S. Shepherd, Esq. and KJik George Smith, Esq., Shepherd &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Joseph R.N. Cloutier, Case Number: 02-05600 Claimant, vs. NY Life Securities., Inc., Hearing Site: Houston, Texas Respondent and Cross-Claimant, vs. John Stephen Blount, Respondent and Cross-Respondent. n Claimant Joseph R.N. Cloutier, hereinafter referred to as "Claimant," was represented by Thomas Allen Filo, Esq. of Cox, Cox, Filo & Camel located in

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Peter A. Dow, TTEE U/A DTD 10/30/1988 Peter A. Dow Trust and Name of Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 02-05598 Hearing Site: Southfield, Michigan Customer v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Peter A. Dow, TTEE U/A DTD 10/30/1988 Peter A. Dow Trust ("Claimant") was represented by Walter Baumgardn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pamela A. Najjar (Claimant) v. Magna Securities Corp. and Patricia A. Winans (Respondents) Case Number: 02-05596 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pamela A. Najjar ("Najjar") hereinafter referred to as "Claimant": David Crystal, II, Gilbride, Tusa, Last & Spellane, LLC, Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05592 Philip Goldstein, claimant vs. Veritrust Financial, LLC, respondent. ATTORNEYS: Claimant appeared pro se, Northridge, CA. Respondent did not respond to the statement of claim. DATE FILED: September 20, 2002 CASE SUMMARY: Claimant alleged that respondent deducted money from commissions for Errors & Omissions coverage. Claimant further alleged that respondent made him opt out of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05590 Jerry P. Sellers Names of the Respondents Hearing Site: Atlanta,Georgia William H. Greer ffl John C. Walker 1H H. Wayne Mutton Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry P. Sellers, hereinafter referred to as "Claimant": Harry G. Mason, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05588 D.R./C.L. Lewis Family Ltd. Partnership D. Robert Lewis Cyra L. Lewis Name of the Respondent Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For D.R./C.L. Lewis Family Ltd. Partnership ("Lewis Family"), D. Rob

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05585 Prime Charter Ltd., Inc., Claimant vs. Paul Lutwin, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Coral Springs, FL. DATE FILED: September 20, 2002 CASE SUMMARY: Claimant alleged that Respondent, following his termination from the corporation, has failed and refused to repay monies owed pursuant to the