* Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: >f tfa* Claimant Ca^JSumtec: 02-02998 Marvin Weihberg Nanre of the fifisp^nd^nts Hearing Ste' Philadelphia, PA Charles Schwab & Co., Inc. Carter Taylor Flagship Capital Management Claimant, Marvin Weinberg ("Claimant"), was represented by Joseph J. Dougherty, Esq., Lyons, Dougherty, Shaffer & Ferver, LLC, Chadds Ford, Pennsylvania, Respondents, Charles S

NASD Dispute Resolution Arbitration No. 02-02997 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Burt Simon, Steven Simon, Continental Furs SA, Furs by Contessa, Inc., and Burt Simon Irrevocable Life Insurance Trust ("Claimants") vs. Merrill Lynch Pierce Fenner & Smith, Inc., William Louis Tripodo, Chrstine Marie Savaresebarral, Charles Clement Merrill, Thomas Anthony Fickinger, and Merrill Lynch & Co. ("Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Marjorie Routien, an individual and Mark Routien, as Executor of the Estate of Ira Routien, deceased and 02-02993 Louisville, Kentucky Name of Respondents Raymond James Financial Services, Inc. Robert Thomas Securities, Inc. John K. Bryant Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION QF PARTIES Marjorie Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case TMnmhftr 02-02991 Silvia Troyce, off-he KegpnnHp.ntH Hearing Site: Houston, Texas Douglas Brennan, Adolph Komorsky Investments, Marc Komorsky, PTTPttFSf TyT ATTON OF Claimant Silvia Troyce, hereinafter referred to as "Claimant," appeared pro se. Respondents Douglas Brennan, Adolph Komorsky, and Marc Komorsky, hereinafter collectively referred to as "Respondents,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE:02-02988 Fahnestock & Co., Inc., claimant vs. Eric Holladay, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Evelyn Bukchin, Esq., New York, NY. For Respondent appeared Orlin L. Wagner, Esq., of the firm Young, Bogle, McCausland, Wells & Blanchard, Wichita, KS. DATE FILED: May 22, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay the balance owed under th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jimmy Jama] Saab, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 00-02744 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jimmy Jamal Saab In Pro Per Tustin, California For Respondent: Michael J. Abbott, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald LLP Los Angeles, California CASE INFORMATION S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann M. Raider (Claimant) v. Morgan Stanley Dean Witter, Inc. and Jay S. Korff (Respondents) Case Number: 02-02983 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ann M. Raider ("Raider") hereinafter referred to as "Claimant": Kevin T. Peters, Esq., Todd & Weld, LLP, Boston, MA. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namf? of the Claimant 1 77" *7 Marion Bass Securities Corporation Name of the Respondents Fahnestock & Co., Inc. and Josephthai & Co., Inc. Case Niimher: 02-02982 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Terminated Member vs. Member and Terminated Member. KFPRFSF.NTATTON OF PARTTF.S Claimant Marion Bass Securities Corporation, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02977 Barbara Fielding, on behalf of Barbara Fielding IRA and as Trustee of Barbara Fielding Revocable Trust Name of the Respondent Hearing Site: Boca Raton, Florida Janney Montgomery Scott LLC REPRESENTATION OF PARTIES For Barbara Fielding on behalf of Barbara Fielding IRA and as Trustee of Barbara Fielding Revocable Trust, hereinafter r

Award NASD In the Matter of the Arbitration Between: Name of Claimant Brenda E. Forsyth Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Marc R. Giamo The Giamo Group Case Number: 02-02975 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Brenda E. Forsyth ("Claimant"): J. Anklowitz, Esq., Bohemia, New York. Until his withdrawal as counsel at the outset of the hearing and Claimant thereafter appeared pro s