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

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: Robert Ormsby and Jean Ormsby (Claimants) v. Tucker Anthony, Inc. n/k/a RBC Dain Rauscher Inc., Gruntal & Co., Donald DeBiase, Mark DeBiase, Walter Allen, and RBC Dain Rauscher (Respondents) Case Number: 02-04330 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Robert Ormsby ("R. Ormsby")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the Haimant Case Number: 00-02881 Legg Mason Wood Walker, Inc. Name nf the Respondent Hearing Site: Baltimore, MD John VanClief Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant, Legg Mason Wood Walker, Inc., hereinafter referred to as "Claimant", was represented by Jason W. Gaarder, Esq., Legg Mason Wood Walker, Inc., Ba

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00314 Mark B. Hayes, Claimant vs. Steve Bennan, Charles Dilluvio and Centex Securities, Inc., Respondents. ATTORNEYS: Claimant, Mark B. Hayes, ("Claimant"), appeared Pro Se, Madison Lake, MN. Respondent, Charles Dilluvio, ("Dilluvio"), appeared through counsel Eric Silvennan, Esq., of Abelow & Cassandro, LLP, Jericho, NY. .- * Respondent, Steve Herman, ("Berman"), did not respo

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

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

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

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