Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Number 02-03508 Oluwafemi Aje Name nf the Respondent Hearing Site- Washington, D.C. Fidelity Brokerage Services, LLC REPRESENTATION Off PARTIES Claimant, Oluwafemi Aje, hereinafter referred to as "Claimant", represented himself at the hearing. Respondent, Fidelity Brokerage Services, LLC, hereinafter referred to as "Respondent", was represented by C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bao Tran and BIch Tran, Claimants vs. Morgan Stanley DW, Inc., Respondent Case Number: 02-03506 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Jonathan P. Tomes, Esq. Richard Dvorak, Esq. Tomes & Dvorak Overland Park, Kansas For Respondent: Mauricio S. Beugelmans, Esq. Morgan Stanley DW, Inc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Herbert A. Gocha and Case Number: 02-03504 Hearing Site: Troy, Michigan Names of Respondents H & R Block Financial Advisors, Inc. and Eric D. Clark Herbert A. Gocha ("Claimant") was represented by David M. Black, Esq., Sornmers, Schwartz, Silver & Schwartz, P.C ., Southfield, Michigan. H & R Block Financial Advisors, Inc. ("HRBFA") and Eric

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants John and Marilyn Boyle and 02-03503 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. David M. Heck, individually and d/b/a The Heck Group Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John and Marilyn Boyle ("Claimants") were represented by Mark J. Applet

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03499 H&R Block Financial Advisors Names of the Respondents Hearing Site: Atlanta, Georgia Kiran Patel Usha Patel Nature of the Dispute: Member Firm vs. Customer REPRESENTATION OF PARTIES For H&R Block Financial Advisors ("H&R"), hereinafter referred to as "Claimant": Kurt M. Miller, Esq., H&R Block Financial Advisors, Detroit, Michig

r Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irving Gelernter, individually, and Trustee f/b/o Irving Gelernter Rev. Trust u/a dtd 10/01/1991, Claimant v. Morgan Stanley Dean Witter & Co., hie. and Robert A. Spoto, Respondents Case Number: 02-03498 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Irving Gelernter, individually, and Trustee f/b/o Irving Gelernter Rev. Trust u/a dtd 10/01/1991, hereinafter r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jerry L. Elder, Claimant v. WM Financial Services, Inc., Respondent Case Number: 00-02767 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Scott L. Metzger, Esq. Duckor Spradling & Metzger San Diego, California For Respondent: Howard A. Kipnis, Esq. Hilding Kipnis Lyon & Kelly San Diego, California CASE INFORMATION Statement of Cl

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 02-03490 Daniel P. DePalma, claimant vs. Wall Street Access, respondent. ATTORNEYS: Claimant appeared pro se, Valley Stream, NY. For Respondent appeared in-house counsel, Jeffrey J. Fahs, Esq., New York, NY. DATE FILED: June 13, 2002 CASE SUMMARY: Claimant alleged that respondent made false and defamatory information on his Form U-5. Claim Data Claim: $50.00 Specific Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03485 Prime Charter Ltd., claimant vs. Darrel J. Palla, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Brooklyn, NY, DATE FILED: June 13, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under the terms of a promissory note. Claim Data Claim: $15,500.00 Interest: 9%

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03482 Jeffrey Michael Shaffner, Trustee, Jeffrey Michael Shaffner Revocable Trust Bruce G. Shaffner, Trustee, Jeffrey Michael Shaffner Irrevocable Trust f/b/o Brook Noelle Shaffner Bruce G. Shaffner, Trustee, Jeffrey Michael Shaffner Irrevocable Trust f/b/o Brennan Sikes Shaffner Names of the Respondents Hearing Site: Boca Raton, Florid