Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mokador Stiftung and Markus Stauder, (Claiinants) vs. Merrill Lynch Bank Austria Merrill Lync Bank & Trust Co.. Mennll Lynch Group Inc.. Metrtll LynchIntemattonal Bank LnrutTd Mern Lyndi Intel ualiunal Incorporated, Memll Lynch International Private Banking Group' Memll Lynch National Financial, and Memll Lynch, P.erce, Fenner & Smith Inc., (Respondents) CA^SCLNU^ 0()A)13 l4(consolidat

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: The Johnson Trust, Joy Stowell, and Neva Johnson, Claimants and CISC Oppenheimer Corp. and Myra Mayer, Inc., Respondents Case Number: 00-02855 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimants, Johnson Trust ("Trust"), Joy Stoweil ("Stowell") and Neva Johnson ("Johnson"), hereinafter collectively referred to as "Claimants", were represented by Gregory N. Jo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04661 Prabhjot Kaur Basi and Gunwant Kaur Basi JTWROS, Claimants vs. Luther Haugan and James Christopher Shelbume, Respondents. CASE: 00-00901 CIBC Oppenheimer, Claimant V. Prabhjot and Gunwant Kaur Basi, Respondents ATTORNEYS: 99-04661 Claimants Prabhjot and Gunwant Kaur Basi ("Claimants"), appeared Pro Se., Bellevue, WA. For Respondents Luther D. Haugan and James Christopher Sh

Award NASD mspute Rflsotutioii, Inc. Ia the Matter of the Albitration Between: Thomas W. Olick, (Claimant) vs. WaBhington Square Securities. Inc. and JiiUe Coonev. (Respondenfi) Cage Number: 98-03160; consolidated with 99-03134 . Heating Site: Fliiladd^[diia. Pennsylvania Claimant. Thomas W. Olick, hereinafter referred to as "Claimant", appeared pro se. Reapondents, Washington Square Securities, Inc. C^ashington") and Mie Coonay ("Cooney"). hereinafte

Award NASD Dispute Resolution, Inc. In the Matter of Arbitmtion Between finmn nfClaimflnt St^hm B. Sawtelle Wmn of Iffipndmtf! Waddell& Reed, Inc. Estate of Larry Anderson Steven Andeiwn Edward Blonski Robert Gjerlow Robert Lee Ho^hler Andrew Kahn Paula Levy Richard Moro Janet Dember Nichols Dennis Charles RitcMe David J. Ross Scott Lee Uzzel Robert James Williams Robert John Worrell Case No. 97-03642

AwmtA NASD Dispute Resolution M m Matter oi tm Atmmmm uetwwtt: Mame of tfie Claimaiit M M%tl% Trustee of ^ m Anpto Tniit Case Mumber: ^-05572 (Coii^Iidated witfi Case Number. 00-00€Il) Namei of the Respondents Pmim^ Secimties, Im. Geoi^e K^oMis Hearing Site: Boca Raton, Florwto In tiie Matter of the Arbitration Between: Nani^ of tfte Claimant Hcmy Ai^lo, Trustee of ^ Henty Ai^elo Trust Case Number: 05-00401 (Consoli

NASD Dispute Eesolutioii, Inc. ill the Matter in itie ArHitratftTii Betv'een- Michael P. Kapogiannatos, (Claimant) vs. Lesko Securities, Inc., (Respondent) and Lesko Securities, Iiit\-. (Claimant) vs. Michael P. Kapogiannatos, (Respondent) Case Number: 00^00300 (consolidated W/OO^CH .C' I i • ! I earing Site: Albany, New York EEFRESfcNl'AllON OF FAIillES Claimant, Michael P. Kapogiannatos ("Kapogiannatos"): James P. O'Brien, Esq., Coughlin & Gerhart,

Award NASD Dispute Eesolution, Inc. In the Matter of the Arbitration Between: Bruce Boda, Claimant v. Equity Trust Advisors, Inc., Curtis FranMin Leahy, Henry Daniel Davidson, and Marc Joseph Riviello, Respondents Master Case Number: 00-01806 Hearing Site: Los Angeles, California In the Matter of the Arbitration Between: Michael R. Voorhees, Claimant v. Equity Trust Advisors, Inc., Curtis Franklin Leahy, and Henry Daniel Davidson, Respondents Subordin

OP. 0 AWARD NASD Regulation, lac In the Matter of the Arbitration Between Name of Claimant Kidder, Peabody & Co., Incorporated and 98-01913 (cons, with 98-01955) Name nf Respondents Lucille C. Fife Neil Boderman REPRESENTATION OF PARTIES Kidder, Peabody & Co., Incorporated ("Claimant") was represented by John H. Jamnback, Esq., Garvey, Schubert & Barer, Washington, D.C. Lucille C. Fife ("Respondent Fife") was represented by Amie Sc

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Anthony Graham Gilchrist vs. Case No. 98-03655 Name of Respondent Sands Brothers & Co., LTD. REPRESENTATION For Claimant, Jonathan Kord Lagemann, Esq. and Jonathan D. Berg., Esq., Lagemann Law Offices, New York, New York. For Respondent, Richard Roth, Esq., Littman Krooks Roth & Ball, New York, New York. CASE INFORMATION Claimant's Statement of Cl