Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dubin Family Trust, Albert Dubin, and Zelda Dubin, Claimants v. Merrill Lynch, Pierce, Fenner & Smith. Inc., Lawrence A. King, Julie F. Krumdieck, Dean 1... Welsh, and Merrill Lynch & Co.. Inc., Respondents Case Number: 02-01879 Hearing^Site: San Diego, California Nature of Ihe Dispute: Customers vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frida Minkowskaia, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated Respondent Case Number: 02-01877 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Frida Minkowskaia In Propria Persona Los Angeles, California For Respondent: Peter Brown Dolan, Esq. The Dolan Law Firm Los Angel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sondra Berchin, Individually and as Trustee of The International Media Consultants, Inc. Profit Sharing Plan and Money Purchase Plan, Claimants v. UBS Financial Services Inc. file/a UBS Paine Webber, Inc. f/k/a Paine Webber, Inc., Randall Keith Grossblatt, and David T. Kaagan, Respondents David T. Kaagan, Counter-Claimant v. Sondra Berchin, Individually and as Trustee ofThe Internat

Award IV AST! Tlisniifo In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 02-01873 Thomas L. Kwako Name nf the Respondent Hearing Site- Washington, D.C. Merrill Lynch,' Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES Claimant, Thomas L. Kwako ("Kwako"), hereinafter referred to as "Claimant", was represented by Thomas C. Costello, Esq., West & Moore, LLC, Baltimore, Maryland. Respondent, Merrill Lynch, Pierce, Fen

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02661 Leo Grunis, Claimant vs. Waterhouse Securities, Inc., Respondent. ATTORNEYS: For Claimant, Leo Grunis, ("Claimant"), appeared Joseph P. Murphy, Esq., Pittsburgh, PA. Respondent, Waterhouse Securities, Inc. ("Respondent") appeared through its in-house counsel, Janis Campanella, Esq., New York, NY. DATE FILED: June 22, 2000 CASE SUMMARY: Claimant alleged that he owned 1,000 sha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01867 Clark Street Capital, Inc. Name of the Respondents Hearing Site: Philadelphia, PA Yeung Investment Partnership Ying Chun Yeung Kai Sun Yeung Name of the Third-Party Ue.Rpondp.nts Kelli O'Brien Milz Capital Clearing Services, Inc. Nature of the Dispute: Member vs. Customers and Non-Member. REPRESENTATION OF PAKTTFS Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of th p n airnant r^ isj^mhp.r- 02-01866 Mary K. Lentz of th** F pg pondfnT Hfflriflig ^itf' Milwaukee, Wisconsin Wells Fargo Investments, LLC Claimant Mary K. Lentz hereinafter referred to as "Claimant": Mark Sanders, Esq. of Hailing & Cayo, S.C., located in Milwaukee, Wisconsin, Respondent Wells Fargo Investments, LLC hereinafter referred to as "Re

Amended Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants Case Number: 02-01864 William M. Halsey, individually and as owner of the William M. Halsey IRA and variable annuities, and Betty J. Halsey, individually and as owner of the Betty J. Halsey IRA and variable annuities Names of Respondents Hearing Site: Tampa, FL Raymond James & Associates, Inc. Penn D. Frisby REPRESENTATION OF PARTIES Fo

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants Case Number: 02-01864 William M. Halsey, individually and as owner of the William M. Halsey IRA and variable annuities, and Betty J. Halsey, individually and as owner of the Betty J. Halsey IRA and variable annuities Names of Respondents Hearing Site: Tampa, FL Raymond James & Associates, Inc. Perm D. Frisby REPRESENTATION OF PARTIES For Willia

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Max Minhas Names of the Respondents Roan-Meyers Associates, L.P. Peter Gayle Case Number: 02-01863 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Max Minhas hereinafter referred to as "Claimant": Harry S. Miller, Esq., Matthew J. Turtle, Esq., and John A. Beccia, III, Esq., Perkins, Smith & Cohen, LLP, Boston, Massachusetts. For Roan-Meyers Ass