Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05484 Jen Maltzman Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. and Nicole Oden Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jen Maltzman, hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New York, Ne

Award NASD Dispute Resolution in tue Matter ot tne Arbitration Between: Name of the Claimant Case Number: 02-05483 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Oscar Farinas REPRESENTATION OF PARTIES For UBS Financial Services, Inc. ("UBSFS"), hereinafter referred to as "Claimant": Lisa A. Catalano, Davidson, Manchel & Brennan, LLP, Northvale, New Jersey. Respondent Oscar Farinas ("Farinas") appeared pro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James Financial Services, Inc. Name of the Respondent Michael G. Ingram Case Number: 02-05481 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc. ("Claimant"): Bruce W. Barnes, Esq., Bruce W. Barnes, P.A., Clearwater, Florida. Michael G, Ingram ("Respondent") did not appear. CASE INFORMA

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant George Shepit IRA Rollover Name of Respondent Olde Discount Corporation n/k/a H&R Block Financial Advisors, Inc. Case No. 00-04010 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES George Shepit IRA Rollover ("Claimant") appeared pro se. Daniel Perry, Esq., Orlando, Florida acted as an advisor to Claimant. For Olde Discount Corporation

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05478 Continental Broker-Dealer Corp., Claimant vs. John Derek Elwin, HI, Respondent. ATTORNEYS: Claimant, continental Broker-Dealer Corp., ("Claimant"), appeared though its in-house counsel, Timothy Fell, Esq., Carle Place, NY. For Respondent, John Derek Elwin, HI, ("Respondent") appeared Jonathan S. Robbins, Esq., of the firm Akerman Senterfitt, Fort Lauderdale, Fl. DATE FILED: Septemb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant flase Number: 02-05474 Barbara A. Teeter Names of the Respondents Hearing Site- Pittsburgh, PA Robert L. Myers WaddeO & Reed, Inc. Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant, Barbara A. Teeter, hereinafter referred to as "Claimant", was represented by Bryan E. Barbin, Esq., Gleason,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christophe Perillat and Quitterie Perillat (Claimants) v. Taylor Stuart Financial, Inc. and Patrick Joseph O'Connor (Respondents) Case Number: 02-05468 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Christophe Perillat ("C. Perillat") and Quitterie Perillat ("Q. Perillat") hereinafter collec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: HD Brous & Co., Inc. (Claimant) v. Andrew Dorman (Respondent) Case Number: 02-05467 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant HD Brous & Co., Inc. ("HD Brous") hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., and Spencer Mazyck, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Mesnikoff IRA (Claimant) v. Ryan Beck & Co., Inc., Gnjutal & Co., LLC, and Jason Rubinstein (Respondents) Case Number: 02-05465 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Terminated Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Harvey Mesnikoff IRA ("Mesnikoff) hereinafter referred to as "Claimant": Zenon B. Masnyj,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Rosemary Cassetta (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Anthony DeGrandi (Respondents) Case Number: 02-05463 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael and Rosemary Cassetta ("the Cassettas") hereinafter collectively referred to as "