Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pase Number: 02-03058 Stanford Group Company, Name nf the Respondent Hearing Site! Houston, Texas V.L. "Rocky" Sembritzky, TTFS Claimant Stanford Group Company, hereinafter referred to as "Claimant," was represented by Stephen H. Lee, Esq. of Doyle, Restrepo, Harvin & Robbins, LLP located in Houston, Texas. Respondent V.L. "Rocky" Sembritzky, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Pane Number- 02-03055 Charles Schwab & Co., Inc. Names nf the Respondents Hearing Site: Baltimore, MD Market Ventures, Inc. of Maryland Barbara Gassaway Kenneth T. Lowman William J. Daniels Names of the Third-Party Respondents Global Wide Web, Inc. Signature Stock Transfer, Inc. Nature of the Dispute: Member v. Customers and Associated Person

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02746 Jerome T. Falk Custodian for John T. Carpenter, Claimant vs. Morgan Stanley Dean Witter, Inc., Respondent. ATTORNEYS: Claimant, Jerome T. Falk Custodian for John T. Carpenter, ("Claimant"), appeared Pro Se, New York, NY. Respondent Morgan Stanley Dean Witter, Inc., ("Respondent"), appeared through its in-house counsel Vincent J. LaGreca, Esq., New York, NY. DATE FILED: Ju

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milton Ka Hong Leong (Claimant) v. Prudential Securities, Inc., Prudential-Bache Securities (Hong Kong) Limited, Prudential-Bache International Bank Limited, and Samson Lui (Respondents) Case Number: 02-03054 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Person. REPRESENTATION OF PARTIES Claimant Milton Ka Hong Leong ("L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03046 Don Samuels, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Great Neck, NY. For Respondent appeared in-house counsel, Dimitri Nemirovsky, Esq., New York, NY. DATE FILED: May 23, 2002 CASE SUMMARY: Claimant alleged that respondent failed to disclose material information regarding Infospace stock that was recommended to him.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Greenberg (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 02-03044 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Greenberg (Claimant) hereinafter referred to as "Claimant": Brian D. Waller, Esq., Law Offices of Bradley D. Simon, New Yor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03043 Fred Hart, claimant vs. Goldis Financial Group, respondent. ATTORNEYS: Claimant appeared pro se, Jericho, NY. For Respondent appeared Steve Goldis, Garden City, NY. DATE FILED: May 23, 2002 CASE SUMMARY: Claimant alleged that respondent breached the employment agreement and failed to pay claimant commissions owed. ARBITRATOR'S REPORT: Mr. Fred Hart is not entitled to receive th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Stuart Schultz (Claimant) v. Berry-Shino Securities, Inc., R. Matthew Shino, Robert L. Berry, Joel L. Gold, Perry Logan, and Leslie Griffith (Respondents) Case Number: 02-03041 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant J. Stuart Schultz ("Schultz") hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doug Hunter and Pat Hunter, (Claimants) v. Preferred Securities Group, (Respondent) Case Number: 02-03039 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Dough Hunter ("Doug") and Pat Hunter ("Pat"), hereinafter collectively referred to as "Claimants" appeared pro se in this matter. Respondents, Preferred Securities Group ("Preferred") here in after refe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Walter Klein and Case Number: 02-03035 Hearing Site: Chicago, Illinois Names of Respondents Reliance Capital, Inc., Gunn Allen Financial, Inc., Saroop Deol, h Praveen Bajaj, ' Parmod K. Chhabra, ( , ' Jayparkash M. Shah, and , Moinuddin A. Saiyed • . "' NATURE OF CASE Customer v. Member, Terminated Member 1