Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Formate and Angela Formato, (Claimants) vs. S.G. Martin Securities LLC and George P. Ford, Jr., (Respondents) Case Number: 02-02785 , Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nicholas Formato ("N. Formato") and Angela Formato ("A. Formato"), hereinafter collectively referred to as "Claimants": Steven G. Leventhal, Esq., a sole practitioner, Rosl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony P. Barone, Anthony P. Barone IRA, and Nancy A. Barone (Claimants) v. Salomon Smith Barney, Inc. and John P. Gulielmetti a/k/a Gullmetti (Respondents) Case Number: 02-02784 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Anthony P. Barone ("A. Barone"), Anthony P. Barone IRA ("A. Barone IR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number- 02-02783 Herbert D. Risley Herbert D. Risley, IRA ft Respondents Hearing Site: Philadelphia, PA Merrill Lynch Pierce Fenner & Smith, Inc. Keith T. Traynor Nature of the Dispute: Customers vs. Member and Associated Person. RFPRFSFTVTATTON OFPARTTFS Claimants, Herbert D. Risley ("Risley") and Herbert D. Risley, IRA ("Risley IRA"), hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02779 H&R Block Financial Advisors, claimant vs. Gary K. Lutz, respondent. ATTORNEYS: For Claimant/counterclaim respondent appeared in-house counsel, Kurt M. Miller, Esq., Detroit, MI. Respondent/counterclaim claimant appeared pro se, Feastervill Trevose, Pa. DATE FILED: May 13, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claimant failed t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02773 Denise J. Rawles, IRA DTD 9/29/00 Denise J. Rawles Name of the Respondent Hearing Site: Orlando, Florida Continental Broker Dealer Corp. REPRESENTATION OF PARTIES For Denise J. Rawles, IRA DTD 9/29/00 and Denise J. Rawles, collectively referred to as "Claimants": K. Michael Swam, Esq., Snyderburn, Rishoi & Swann, Orlando, Florida.

Award COPY NASD Dispute Resolution In the Matter of Arbitration Between: Ashok K. Kacker, M.D. and Moti C. Kacker, Joint Tennants, Kamal Mehrotra and Ashok K. Kacker, Joint Tennants, Santa Kacker., and the Kacker Family Limited Partnership, Claimants v. Cooper Linse, Capital Management, Inc., Cooper-Linse, Inc., Donald E. Linse, Lori A. Cooper, Cooper Linse Hallman, Thomas J. Hallman, and Prudential Equity Group, LLC file/a Prudential Securities Incorporate

Award PflPY NASD Dispute Resolution ^ ** * ' In the Matter of the Arbitration Between: The Jeanette B. Adams Living Trust and James W. Tharp PSP, Claimants v. Raymond James Financial Services, Inc. and Lance C. Newby, Respondents Case Number: 02-02769 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimants: Jay T. Suemori, Esq. Suemori & Aipa, LLLC Honolulu, Hawaii For Respondent Raymond James Financial Services, Inc.: Chad Weaver

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yasmin ZibarL Claimant v. Waterhouse Securities, Inc., TD Waterhouse Investor Services, Inc., National Investor Services Corp., Peter Cunningham, and Donald Richner, Respondents Case Number: 00-02687 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant and Counter-Respondent Yasmin Zibari O'Zibari"): For Respondents and Counter-Claimants Wat

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent Robert Pfannenstiel v. 02-02767 Denver, Colorado Respondent / Counter-Claimant Merrill Lynch Pierce Fenner & Smith, Inc. Nature of Case: Customer v. Member and Member v. Customer REPRESENTATION OF PARTIES Robert Pfannenstiel ("Claimant") appeared pro se. Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent") was represented by Jennifer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' Linda T. McNabb, ' Claimant, vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS/PaineWebber Inc. and Robert Silvestri, Respondents. Case Number: 02-02761 Hearing Site: Dallas, Texas NATURE OF CASE i Customer versus a Member and an Associated Person. REPRESENTATION OF PARTIES Claimant Linda T. McNabb, hereinafter referred to as "Claimant"