Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-01758 Stanford Group Company Name of Respondent Hearing Site: Boca Raton, Florida Gregorys, Daniel For Stanford Group Company, hereinafter referred to as "Claimant": Ronald D. Shindler, Esq., Fowler White Burnett P.A., Miami, Florida. Respondent Gregory S. Daniel appeared pro se. CASE INFORMATION Statement of Claim filed on or

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Randall A. Drew and 02-01757 Kansas City, Missouri Name of Respondents World Securities, Inc. Investor's, Financial, Inc. Martin W. Smith Gregory L. Fears REPRESENTATION OF PARTIES Randall A. Drew ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J. Miller, P.C., Kansas City, Missouri, World Securities, Inc. ("Respo

Award NASD Dispute Resolution In the Matter or trie Arbitration between: Names of the Claimants Case Number: 02-01748 Glenn and Ava Milligan Names of the Respondents Hearing Site: Boca Raton, Florida J.P. Morgan Securities, Inc. Franklin C. Tiller, Jr. REPRESENTATION OF PARTIES For Glenn and Ava Milligan ("Milligans"), hereinafter referred to as "Claimants": David C. Smith, Kilpatrick Stockton LLP, Winston Salem, North Carolina and Carlos F. Con

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CIBC World Markets Corp., (Claimant) vs. Eric Butler and Lehman Brothers Inc., (Respondents) Case Number: 02-01747 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, CIBC World Markets Corp., hereinafter referred to as "Claimant": Joseph E. Gehring, Jr., Esq., Kasowitz, Benson, Torres & Friedman LLP, New York, NY. Respondents, Eric Butler ("Butler") and L

Award NASD Dispute Resolution In the Matter ot the Arbitration between: Names of the Claimants Case Number: 02-01745 Nancy E. Polumbo and William C. Polumbo, individually Nancy E. Polumbo Trust U/A DTD 6/9/93 and William C. Polumbo Trust U/A DTD 6/9/93 Names of the Respondents Hearing Site: Boca Raton, Florida Robert W. Baird & Co. Incorporated William Elett REPRESENTATION OF PARTIES For Nancy E. Polumbo ("NEP"), William C. Polumbo ("WCP

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-01744 Jo Ann Kearney Names of Respondents . Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Dearl Hemphill REPRESENTATION OF PARTIES For Jo Ann Kearney ("Claimant"): Richard R. Logsdon, Esq., The Law Offices of Richard R. Logsdon, P.A., Clearwater, Florida. For Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") and Dearl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Theodore L. Smith Case Number: 02-01743 Names of the Respondents Salomon Smith Barney John Joseph Burke, Jr. E. Laurence Browne Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Theodore L. Smith, hereinafter referred to as "Claimant", appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Pace, Individually and as Custodian for the Philip Pace IRA and the Philip Pace SEP IRA (Claimants) v. Salomon Smith Barney, Inc. and Daniel V. Rufo (Respondents) Case Number: 02-01739 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Philip Pace ("Pace"), Philip Pace IRA ("Pace IRA") and Ph

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01728 Wachovia Securities, Inc., claimant vs. Paul J. Higgins, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Pamela M. Pearson, Esq., Charlotte, NC. For Respondent appeared William H. Lindsey, Esq., Salem, VA. DATE FILED: March 22, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed under two Promissory Notes. Claim Data Award Data Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Small Family Limited Partnership (Claimant) v. Tucker Anthony, Inc. (Respondent) and Stein Family Limited Partnership (Claimant) v. Tucker Anthony, Inc. (Respondent) Case Number: 02-01727 (consolidated w/02-01731) Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Small Family Limited Partnership ("Small") and Stein