Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: InvestPrivate, Inc. (Claimant) v. Nick Son (Respondent) Case Number: 02-05080 Hearing Site: New York, N.Y. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant, InvestPrivate, Inc. ("Claimant"): Eric S. Hutner, Esq., Eric S. Hutner & Associates, New York, NY. Respondent, Nick Son ("Respondent"): Alfred Ferrer m, Esq., Eaton & Van Wink

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann Gray and Thomas Gray (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bernard Kavanagh (Respondents) Case Number: 02-05078 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ann Gray ("A. Gray") and Thomas Gray ("T. Gray")and Ann Gray and Thomas Gray (A & T Gray) hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. Starr, (Claimant) vs. Grady and Hatch & Co., Inc. and Karl Jesaitis, (Respondents) Case Number: 00-03959 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard J. Starr, hereinafter referred to as "Claimant": Thomas W. Williams, Esq., a sole practitioner, Mahwah, NJ. Respondent, Grady and Hatch & Co., Inc. ("G&H"), did not appear at the hearing in th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sharon Jiang (Claimant) v. Credit Agricole Indosuez Securities, Inc. (Respondent) Case Number: 02-05077 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Sharon Jiang ("Jiang") hereinafter referred to as "Claimant": Andrew S. O'Connor, Esq., Law Offices of Andrew S. O'Connor, Larchmont, NY. Respondent Credit A

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luke Angelus, (Claimant) v. Sands Brothers & Co., LTD., Jason Russo, Rafael Vasquez, and Chris J. Braccia, (Respondents) Case Number: 02-05071 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Luke Angelus, hereinafter referred to as "Claimant": Brad Jacobs, Esq., Perkins, Smith &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Alan A. Wanderer and Allergy & Asthma Consultants of the Rockies, P.C. v. 02-05070 Denver, Colorado Respondents Citigroup Capital Markets, Inc. f/k/a Salomon Smith Barney Inc. and Craig G. Zeller REPRESENTATION OF PARTIES Alan A. Wanderer and Allergy & Asthma Consultants of the Rockies, P.C. ("Claimants") appeared pro se. Citigroup Capital Markets, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS OFFICE OF DISPUTE RESOLUTION — 02-05067 ViOt AM SMITH, | 1 I ARBITRATION AWARD AND ORDER Claimant, vs. LOUIS SMALLE Respondent. FOREXPUNGEMENT This Matter comes before ihe Arbitrator pursuant to the parties' "Stipulation For Dismissal of All Claims and Withdrawal of All Allegations and Request for Expungement". The Arbitrator, having considered the parties' "Stipulation for Dismissal of All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp., (Claimant) v. Ron Harris and Joseph Sceurman, (Respondents) Case Number: 02-05065 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq. First Montauk Securities Corp., Red Bank, NJ. Previously represented by Bruce D. Oakes, Law Office of Bruce

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Ingebord F. Chard Names of the Respondents AXA Advisors, LLC The Equitable Life Assurance Society of the United States Nature of the Dispute: Customer vs. Members Case Number: 02-05063 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Ingebord F. Chard, referred to as "Claimant": Christopher T. Vemon, Esq., Treiser, Collins & Verno

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05060 Shep Alster, Shep Alster PAS Account, Shep Alster PAS/Harris Bretall, Shep Alster Custodian for Jennifer Alster, Shep Alster Custodian for Jessica Alster, Shep Alster Custodian for Ryan Alster, and Shep Alster IRA Name of the Respondent Hearing Site: Boca Raton, Florida A. G. Edwards & Sons, Inc. Nature of the Dispute: Custome