Award NASD Dispute Resolution In the Matter of the Arbitration Between: William S. G ach and M artha Woods, ( Claimants) v. S igma Financial C orporation and William R. Henzey, (Respondents) Case Number: 02-05544 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, William S. Gach ("Gach") and Martha Woods ("Woods"), hereinafter collectively referred to as "Claimants": Jonathan E. Rosenbaum, Esq., Rosenbaum & Muhek, Elyria, OH. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Churchill, Claimant v. J.P. Turner & Company, L.L.C., Ian S. Katz, Kenneth S. Vesely, Institutional Equity Corporation, Institutional Equity Holdings, Inc., Joseph C. Crouch, Michael J. Pata, Steven Dubinsky, Vincent R- Drohan, Robert A. Shuey, Ill, Thomas W. Laundrie, Jeffrey W. Michel, Reza A. Mokhberi, William L. Mello, Timothy W. McAfee, Stephen John Fisher, and Stephen C. Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of Ruth Wilson (Claimant) v. Advest, Inc. and David Maynard (Respondents) Case Number: 02-05540 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Ruth Wilson ("Wilson") hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondents Advest, Inc.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bernard C. Pobocik and Case Number: 02-05537 Hearing Site: Southfield, Michigan Names of Respondents Raymond James and Associates, Inc., successor to Roney & Co. and Terry Davidson NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Bernard C. Pobocik ("Claimant") was represented by D. Michael Kratchman, E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mitchell Epstein, Executor for the Estate of Shirley Epstein, and Trustee of the Shirley Epstein Revocable Trust dtd 09/24/2001 and 00-04027 Kansas City, Missouri Name of Respondents Stifel Nicolaus & Company, Inc. Anton R. Cecrle Lawrence A. Manica REPRESENTATION OF PARTIES Mitchell Epstein, Executor for the Estate of Shirley Epstein, and T

CASE: 02-05534 Warren Karl Hansen, Claimant vs. Katherine Renee Cook, Respondent. ATTORNEYS^ Claimant, Warren Karl Hansen ("Claimant") appeared pro se., Boca Raton, FL. Respondent, Katherine Renee Cook ("Respondent") appeared pro se., Dallas, TX DATE FILED: September 18, 2002 CASE SUMMARY: Claimant alleged that Respondent violated NASD Code of Procedure, Rule 10201 and filed a civil suit in a Texas court. Claimant maintained that due to Respondent's act

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claim ants W. Alex and Nancy A. Willis, JTWROS Name nf the Respondent Merrill Lynch Pierce Fenner & Smith Inc. Case Number 02-05526 Hearing Site; Raleigh, North Carolina Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATTON OF PAKTTF.S Claimants W. Alex and Nancy A. Willis, JTWROS, hereinafter collectively referred to as "Claimants", were not repr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Ella Mary Lewis and 02-05525 Phoenix, Arizona Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Kirk J.Gill John S, Simonson Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Ella Mary Lewis ("Claimant") was represented by Mark Lammers,

/i wai o NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Peter W. Pagano, Trustee u/a/d 5/15/96 Elizabeth Pagano Names of the Respondents Morgan Stanley DW, Inc. Douglas Schrager Case Number: 02-05524 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter W. Pagano, Trustee u/a/d 5/15/96 ("PWP") and Elizabeth Paga

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05519 American Express Financial Advisors, claimant vs. Magdy Ahmad, respondent. ATTORNEYS: For Claimant appeared Anthony Gericke, Margin Department, Minneapolis, MN.. Respondent did not respond to the Statement of Claim. DATE FILED: September 17, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed on an outstanding debit balance in his account. Claim Data