NASD Dispute Resolution Arbitration No. 02-03244 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur and Margaret Labrusciano, (Claimants) vs. American Skandia Marketing, Inc., Lifemark Securities Corp., and Christopher T. Delaney, (Respondents) Case Number: 02-03244 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Arthur and Margaret Labrusciano, hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Ehrlich (Claimant) v. Knight Securities, L.P. n/k/a Knight Equity Markets, L.P. and Kenneth Pasternak (Respondents) Case Number: 02-03241 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael Ehrlich ("Ehrlich") hereinafter referred to as "Claimant": Leslie R. Bennett, Esq.,

AWARD NASD Dispute Rcsolu ion In the Matter of the Arbitration Between Name of Claimant Wellmark, Inc. and Name of Respondents Salomon Smith Barney Inc. k/n/a Citigroup Global Markets, Inc. Peter Douglas Cartwright 02-03239 Omaha, Nebraska Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Wellmark, Inc. ("Claimant") was represented by Michael W. Thrall, Esq., Nyemaster, Goode, Voig

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant Neidiger, Tucker, Bruner, Inc. Names of Respondents James A. Steinkirchner John H.Keller, Jr. Case Number: 02-03238 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Neidiger, Tucker, Bruner, Inc. ("Claimant"): Marguerite Becky Patrick, Esq., Morris, Manning & Martin, LLP, Atlanta, Georgia. James A. Steinkirchner ("Steinkirchner") and John H.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pase Numher- 00-02709 George C. Grivas nf the ResponHpnfc Hearing Site- Washington, DC Kerry J. Dukes, Philip L. Taub, Erik D. Aschenbrermer, Lisa M. DellaPietra, Neil R. Rubin, Howard Rackover, Steve Solano, Stephen Grivas, and Bluestone Capital Partners, L.P. RF.PRF.SRNTATTON OF PARTTRS Claimant George C. Grivas, hereinafter referred to as "Claimant", was repre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f! nfffrp. rfojpiatrf C.s\f& ^Jiii-phey- 02-03237 Etta M Slate, individually and as executor of the estate of Robert L. Slate, deceased. Hiring Sitfl* Dallas, Texas FFP Securities, Inc.; Jack L. Bamett, Jr.; and, FFP Advisory Services, Inc. Customer vs. Member and Associated Person ° Claimant Etta M Slate, individually and as executor of the estate of Robert L. Slate

CASE: 02-03233 George T. Chow and Maria L. Chow, claimants vs. Charles Schwab & Co., Inc., Bianca Lopez, Valerie Vasquez and Brad Hass, respondents. ATTORNEYS: Claimants appeared pro se, San Francisco, CA. For Respondents appeared Gregory M. Scanlon, Esq., in-house counsel, San Francisco, CA. DATE FILED: June 3, 2002 CASE SUMMARY: Claimants alleged that the on-line sell order for TYC was not executed by respondents at the price claimants requested. Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-03228 William Eckert Jones and Orracha Pumkao Jones, claimants vs. Rose Marie Tremmel Wallace, and DP Asset Management Inc., respondents. ATTORNEYS: Claimants appeared pro se, Naples, FL. Respondent Rose Marie Tremmel Wallace did not respond to the Statement of Claim. For Respondent DP Asset Management Inc., appeared Joel Martin McTague, Esq., of the firm Redgrave & Turner, LLP, Boca Rat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03227 Jo Nell Hayes and Brent Graves Names of the Respondents Hearing Site: Memphis, Tennessee Carry & Company, Inc. Bill Carry Jerry Best Scott McCallum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jo Nell Hayes and Brent Graves, hereinafter collectively referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Nien Cheng Wang, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Howard K. Wen, Respondents Case Number: 02-03225 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader Las Vegas, Nevada Bandali Dahdah Alexicole, Inc. Burlington, Massachusetts For Respondent: Peter Brown Dolan, Esq.