Award NASD Dispute Resolution In the Matter of the Arbitration Between: Francis X. Weber, Jr. (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Steven Tacher (Respondents) Case Number: 02-03091 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Francis X. Weber, Jr. ("Weber") hereinafter referred to as "Claimant": Steven S. Bis

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lucy D'Armiento and Leonard D'Armiento, (Claimants) vs. The Agean Group, Inc. and Adam Weinstein, (Respondents) Case Number: 00-02749 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lucy D'Armiento and Leonard D'Armiento, hereinafter collectively referred to as "Claimants": Dan A. Druz, Esq., a sole practitioner, Manasquan, NJ. Respondent, The A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Gerald P. Sellers and Tamara Sellers and 02-03090 Phoenix, Arizona Name of Respondents Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. John P. McKenna REPRESENTATTON OF PARTIES Gerald P. Sellers and Tamara Sellers ("Claimants") were represented by Jeffrey A. Sellers, Esq., Silverberg,Yood,Sellers,McGorry & Silverberg, Buffalo, New Yor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barry Crees and Names of Respondents U.S. Bancorp Piper Jaffray and Thomas A. Lightner Case Number: 02-03088 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant Barry Crees ("Claimant") was represented by John J. Miller, Esq., Law Office of John J. Miller, P.C., Kansas City, Missouri. Respondents US Bancorp Piper Jaffray ("USB") a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: C^nc. Number- 02-03083 Fred De Luca Names nf the. Respondents Hiring Site; Pittsburgh, Pennsylvania Morgan Stanley Dean Witter, Inc. James Reim Nature of the Dispute: Customer vs. Member and Associated Person RF.PRKSF.NTATTON OF PARTIES Claimant, Fred De Luca, hereinafter referred to as "Claimant/' was represented by Nicholas J. Guiliano, Esq., Philadelphia, P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ray Bregante, Trustee of the Ray S. Bregante Living Trust dtd 2/12/89 and Trustee of the RSB Enterprises, Inc., Profit Sharing Plan and Trust, Claimants v. Prime Charter, Ltd., John L. Donahue, and Oppenheimer & Co., Ltd., Respondents Case Number: 02-03068 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PART

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03067 Barbara Schaner Names of Respondents Hearing Site: Washington, DC Morgan Stanley DW Inc. Edith Mechling Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Barbara Schaner, hereinafter referred to as "Claimant", was represented by William Heyman, Esq., Baltimore, MD

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number; 02-03066 Blue Dot Services, Inc. and Blue Dot Services, Inc. Profit Sharing Plan RS nf the "Respondents Hearing Site- Baltimore, MD Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. and Nelson M. Polun Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTTF.S Claimants, Bl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name rtf the Claimant Case Number- 02-03061 UBS PaineWebber Inc. Wame nf the Respondent Hearing Site: Atlanta, Georgia Michael J. Bayes BF.PRFSiF.NT ATTOM OF P ARTIES UBS PaineWebber Inc. ("UBS PaineWebber"), hereinafter referred to as Claimant, was represented by Brent A. Burns, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New Jersey. Michael J. Bayes (

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: . nf thf r 1a i™ arrt Case Number 02-03060 Ronald A. Karp Name of thp Respondents Hearing Site: Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Incorporated Lee D. Weiss Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Ronald A. Karp, hereinafter referred to as "Claimant", was represented