Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pat Philips (Claimant) v. Washington Square Securities, Inc. and Alfred Cali (Respondents) Case Number: 02-04465 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Pat Philips ("Philips") hereinafter referred to as "Claimant": Roy L. Jacobs, Esq., New York, NY. Respondents Washington Squ

NOTICE: An award was rendered in this case, but is not available.

NOTICE: An award was rendered in this case, but is not available.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lombard Securities Incorporated, (Claimant) vs. Margaret E. Desmond, (Respondent) Case Number: 02-04464 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Lombard Securities Incorporated, hereinafter referred to as "Claimant": Randall W. Henley, Esq., Randall W. Henley, P.A,, West Palm Beach, FL. Respondent, Margaret E. Desmond, hereinafter referred to as "Respo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard J. Alt and 02-04454 Phoenix, Arizona Name of Respondent Joseph Gunnar & Co, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Richard J. Alt ("Claimant") was represented by Robert B. Weintraub, Esq., Wolf Haldenstein Adler Freeman & Herz LLP, New York, New York. Joseph Gunnar & Co, LLC ("Respondent") was represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04453 Alice Newbury Name of the Respondent Hearing Site: Atlanta, Georgia Merrill Lynch REPRESENTATION OF PARTIES For Alice Newbury, hereinafter referred to as "Claimant": Curtis J. Dickinson, Esq., Woodstock, Georgia. For Merrill Lynch ("Merrill"), hereinafter referred to as "Respondent": Richard Kelly, Esq., Office of General Counse

Stipulated Award NASD Dispute Resolution In the Matter ot trie Arbitration between: Names of the Claimants Case Number: 02-04446 Kim Martin Jamie. Martin Names of the Respondents Hearing Site: Boca Raton, Florida Advest, Inc. Malcolm J. Berko Roy P. Akers Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kim Martin ("KM") and Jamie Martin ("JM"), hereinafter referred to as "Claimants": Ri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Betty Cacek-Truesdell Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 89-00139 The Arbitrator, Justin S. Morrill Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on January 18, 1989 and March 9, 19

Region_^- a VoIume_^^l_, Number (o Year 90 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between Fariborz Yadegar, Individually Claimants And On Behalf Of Mordechai Yadegar And Matthew Yadegar, His Minor Sons vs. AWARD CASE NO. 89-00107 Blinder Robinson & Co., Inc. Respondents And James R. Skorton SUWARY OF ISSUES This case was filed on January 17, 1989. Claimant Fariborz Yadegar all

CHICAGO BOARD OPMON'- EXCHANGE In Mie Matter of the Arbitration Betwppn Vernftn G. Vernier Claimant ) Case #88-99930 ) VS- ) Award StevM M. Maconi and ) Mprriil Lynch, Pierce, Fenner ^ Smith, im i Respondent - ,i CASE SUMMARY Claimant alleges that on October /(), 1987, his broker, Steve Macon'i, mistiuoted the price of Merck call option JfVi ^20 as $1.25 when the buy price wa? UO-OO. Claimant further alleges 'IMI iMsed on that quotat