NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05435 Gina Lippis, claimant vs. First Colonial Securities Group, Inc., respondent. ATTORNEYS: For Claimant appeared Peter T. Jensen, Esq., New York, NY. For Respondent appeared in-house counsel, Richard Campanella, Esq., Boca Raton, FL. DATE FILED: September 12, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay claimant her bonus pursuant to the terms of the Employment Ag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: M.P. Press, Inc. (Claimant) vs. Morgan Stanley DW Inc. and Sheldon Kramer (Respondents) Case Number: 02-05434 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant M.P. Press, Inc., hereinafter referred to as "Claimant": Stephen H. Werner, Esq., New York, NY. Respondents, Morgan Stanley DW Inc. ("MSDW") and Sheldon Kramer ("Kramer"), hereinafter collectively re

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Wu and Kao Wu, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Dauphin, Respondents Case Number: 02-05430 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Wu and Kao Wu, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John Dauphin, Respondents Case Number: 02-05430 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Thomas D. Mauriello, Esq. Law Offices of Thomas D. Mauriello San Francisco, California For Respon

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Serena Mondavi Ventura, Claimant v. Deutsche Bank Securities, Inc. and Kent T. Baum, Respondents Case Number: 02-05429 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement, Inc. San Francisco, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene S. Eldridge, individually and as Trustee of the Eldridge Family Trust, U.S. Bank of Washington, N.A., as Corporate Co-Trustee of the Eldridge Family Trust, Arthur K Eldridge and Linden G. Eldridge as designated Beneficiaries and Successor Co-Trustees of the Eldridge Family Trust, and the Eldridge Family Trust, Claimants v. Bruce R. Talley, J. Patrick Flynn, Pamela J. Holtzclaw, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05422 Daniel L. Wyant and Karen S. Struck as Co-Trustees of the Delia Jeffery Trust Names of the Respondents Hearing Site: Orlando, Florida Prudential Equity Group, Inc. f/k/a Prudential Securities Incorporated Michael Blakemore Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Daniel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph A. Kreji and 02-05421 Chicago, Illinois Name of Respondents Citicorp Investment Services, Inc., John Doyle and Geoff Louis Carfagnini Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Joseph A. Kreji ("Claimant") was represented by Donald M. Thompson, Esq., located in Chicago, Illinois. Citicorp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-05416 D. Paone Revocable Trust FBO Dorothy M. Paone, POA Marilyn W. Paono-Rando Name of Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For D. Paone Revocable Trust, FBO Dorothy M. Paone, POA Marilyn W. Paono-Rando, hereinafter referred to as "Claimant", appeared pro se, assisted by her daught

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f * 02-05406 World Choice Securities, Inc. flai'mflntfi flfcflrjng ffl?' Dallas, Texas Butler Freeman Tally Financial Group, L.L.C.; Wilda J. Berry; and, Kenneth C. Boothe William Ross Morris, in Member Firm v. Member Firm and Associated Persons v. Associated Person Claimant/Counter-Respondent World Choice Securities, Inc. ("World Choice"), hereinafter referred to as