Award NASD Dispute Resolution In the Matter of the Arbitration Between: Parker W. Knight, Jr. ("Claimant") vs. Bane of America Securities, LLC ("Respondent") Case Number. 02-03142 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Parker W. Knight, Jr., hereinafter referred to as "Claimant": Frederic Newman, Esq., and Laura B. Hoguet, Esq., Hoguet, Newman & Regal, LLP, New York, NY. Respondent, Bane of America Securities, LLC, here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salomon Grey Financial Corp. (Claimant) v. John Luciano and James Schwartz (Respondents) Case Number: 02-03141 Hearing Site: New York, NY. REPRESENTATION OF PARTIES Claimant, Salomon Grey Financial Corporation, hereinafter referred to as ("Claimant"): appearing pro se, previously represented by David C. McCue Esq., Lawson, Fields, McCue Lee & Campbell, P.C. Dallas, TX, subsequen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sidney Bier Name of the Respondents Salomon Smith Barney Inc. Edward Edelman Case Number: 02-03140 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Sidney Bier ("Bier"), hereinafter referred to as "Claimant": Harold W. Paul, Esq., Westport, CT. Respondents Salomon Smith Barney Inc., (n/k/a Citigroup Global Market

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plaimant Glenn Robert Mazzone Case Number- 02-03138 Name nf the Respondents Scott & Stringfellow, Inc., Francis Couper Baldwin, Jr., and Clarence J. Ball, Jr. Hearing Site- Richmond, Virginia , RFPRF.SFNTATTON OF PARTTF.S Claimant Glenn Robert Mazzone, hereinafter referred to as "Claimant", was represented by Edward Lowry, Esq. and Robert A. K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03134 Charles Schwab & Co., Inc., claimant vs. George A. Todt, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Brandon K. Hemley, Esq., San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: May 29, 2002 CASE SUMMARY: Claimant alleged that respondent wrongfully retained an erroneous deposit made to his account. Claimant contended that due to r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Peregoy, Successor Trustee of The Winnette M. Ellsworth Living Trust, Claimant v. Lighthouse Capital Corporation, Edward C. Jennings, III, and Robert J. Zamecki, Respondents Case Number: 02-03128 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. Law Offices of Reed H. Bement San Francisco, California For Respondents: ,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Marina A. Alfaro Case Number- 02-03127 Name of thf* First Union Securities, Inc. n/k/a'&Vachovia Securities, Inc. Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Marina A. Alfaro, hereinafter referred to as "Claimant", was represented by Thomas A. Gentile, Esq., Goldberg & Goldberg, Chevy Chase, Maryland. Respondent, First

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jeffrey Noddle, Successor Trustee of the Richard Maling Trust U/A Dated 9/3/86 Names of the Respondents R.M. Stark & Co. Gary L. Stark Ca_se Number: 02-03124 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Noddle, Successor Trustee of the Richard Maling

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Jeanne and Frank Cabrera and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Mathew B. West, and John M. Desenberg Case Number: 02-03118 Hearing Site: Houston, Texas NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Jeanne and Frank Cabrera ("Claimants") were represented by R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mami* nf the P.lflimant Hasp. Number: 02-03117 Alexandra M. Wallop, pf the Respondent Hearing Site.: Albuquerque, New Mexico Preferred Trade, Inc., Michael Braganza, Aaron Small, Wesley Rusch, Claimant Alexandra M. Wallop, hereinafter referred to as "Claimant," was represented by Robert A. Engel of Engel & Bigelow LLP located in Santa Fe, New Mexico. Respondent Prefe