AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant H & D Loucks Trust v. 02-05272 Denver, Colorado Respondents Raymond James Financial Services and Fred L. Dowd Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES H & D Loucks Trust ("Claimant") was represented by Steve A, Miller, Esq., of Steve A. Miller, P.C., Denver, Colorado. Raymond James Financial Services ("Raymond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lester & Lois Gurdin, Claimants, vs. Wachovia Securities, Inc. Robert J. Hayes and John Doe (Robert J. Hayes* Supervisor) Respondents. Case Number: Hearing Site: 02-05270 Omaha, Nebraska Nature of Dispute: Customers vs. Member and Associated Persons Claimants Lester & Ix>is Gurdin, hereinafter referred to as "Claimants," were represented by Gail E. Bo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Patricia Krisfalusi-Meadows and Names of Respondents Merrill Lynch Pierce Fenner& Smith, Inc. Merrill Lynch and William M. Lelich Case Number: 02-05269 Hearing Site: Southfield, Michigan NATURE OF CASE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Patricia Krisfalusi-Meadows ("Claimant") was represented by

CASE: 02-05268 Mary B. Williams, claimant vs. Loren Larry Law, Daniel Larry Law, Daniel Lee Denekemp & U.S. Bancorp Piper Jaffray Inc. , respondents. ATTORNEYS: Claimant, Mary B. Williams ("Claimant") appeared through Sue Ann Leland, Tuscaloosa, AL. For Respondents, Loren Larry Law, Daniel Larry Law, Daniel Denekamp and US Bancorp Piper Jaffray, Inc. (collectively "Respondents") appeared Steven M. Phillips, Esq., of the firm Anthony Ostlund & Baer, PA, Minn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald J. Callahan (Claimant) v. Lehman Brothers, Inc. (Respondent) Case Number: 02-05261 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Donald Callahan, hereinafter referred to as "Claimant**: John D. Rapoport, Esq., John D. Rapoport, P.C., White Plains, NY. Respondent, Lehman Brothers, Inc., hereinafter referred to as "Respondent": Susan R. Kohn, Esq., Kr

, Award NASD Dispute Resolution la the Matter of the Arbitration Between: Aaron J. Fleishaker, Sheryl H. Fleishaker, Andrea Elyse Fleishaker, a minor, by her parents Aaron J. Fleishaker and Sheryl H. Fleishaker, David Adam Fleishaker, a minor, by his parents Aaron J. Fleishaker and Sheryl H. Fleishaker, and Kara Joy Fleishaker, a minor, by her parents Aaron J. Fleishaker and Sheryl H. Fleishaker, and AKD Real Estate (Claimants) b. First Montauk Securities C

CASE: 02-05256 Bishop Rosen & Co. Inc., Claimant vs. Tom Bononno, Patrick Snipes, and 1st Tennesses Capital Markets, Respondents. ATTORNEYS: Claimant, Bishop Rosen & Co. Inc.("Claimant") appeared through Thomas Russo, New York, NY. Respondents, Tom Bononno, Patrick Snipes, and 1st Tennesses Capital Markets (collectively "Respondents") appeared through Joel Ross, Memphis, TN. DATE FILED: September 5, 2002 CASE SUMMARY: Claimant alleged that responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Edgar Antonio Desola Case No. 00-03990 Name of Respondent UBS PaineWebber, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Edgar Antonio Desola ("Desola") hereinafter referred to as "Claimant": Phillip J. Snyderburn, Esq. of Snyderburn, Rishoi & Swarm, Winter Park, FL. For UBS PaineWebber, Inc. ("UBS") hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 02-05254 Louise Bowman Vick Melissa Vick Wilkins Names of the Respondents Hearing Site: Atlanta, Georgia UBS PaineWebber, Inc. Everett F. Nix, Jr. Thomas Kloess Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Louise Bowman Vick and Melissa Vick Wilkins, hereinafter collecti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sondra L Thorn i and Case Number: 02-05250 Hearing Site: Troy, Michigan Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Brian S. Launstein REPRESENTATION OF PARTIES Sondra L. Thorn ("Thorn" or "Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan. Merrill Lynch Pierce Fenner & S