Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert Kiely, Paul Tinney, Robert Hansen and John Galgay Names of the Respondents Joseph Gunnar & Co., LLC and James J. Crew Case Number: 02-02541 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Robert Kiely ("Kiely"), Paul Tinney ("Tinney"), Robert Hansen ("Hansen") and John Galgay ("Galgay"), hereinafter collectively refer

Award NASD In the Matter of the Arbitration Between; Name of Claimant Janis H. Wheeler Custodian for Kelly M. Wheeler UTMA/FL Names of Respondents Allen Douglas Securities, Inc. Alexander C. Lethbridge-Castro Case Number: 02-02540 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Janis H. Wheeler Custodian for Kelly M. Wheeler UTMA/FL ("Claimant"): Robert Dyer, Esq., Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A., Orland

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Name of the Claimant Case Number: 02-02537 Yvonne Roberts i Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. \ Philip A. Amick ; REPRESENTATION OF PARTIES For Yvonne Roberts ("Claimant"): Claimant initially appeared pro se. On! or about July 18, 2002, Eric A. Lanigan, Esq., Winter Park, Florida, appeared as counsel to Claimant. For Morgan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James T. Griscom, n and -02-02536 Nashville, Tennessee Name of Respondent Lehman Brothers, Inc. REPRESENTATION OF PARTIES James T.Griscom, n ("Claimant") was represented by Salvador M. Hernandez, Esq. and John Jacobson, Esq., Brown, Riley, Warnock & Jacobson, PLC., Nashville, Tennessee. Lehman Brothers, Inc. ("Respondent") was represented by G. Wayne

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael F. Trainor, (Claimant) vs. Salomon Smith Barney Inc. and Richard Cyphers, (Respondents) Case Number: 00-02625 Hearing Site: New York, New York REPRESENTATION QF PARTIES Claimant, Michael F. Trainor, hereinafter referred to as "Claimant": Robert A. Harris, Esq., Zeldes, Needle & Cooper, Bridgeport, CT. Respondents, Salomon Smith Barney Inc. ("Salomon") and Richard C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant / Counter-Respondent First Union Securities, Inc. v. 02-02535 Denver, Colorado Respondent / Counter-Claimant Mark Thompson Nature of Dispute: Member v. Associated Person and Associated Person v. Member REPRESENTATION OF PARTIES First Union Securities, Inc, ("Claimant or Counter-Respondent") was represented by Renan I. Sugarman, Esq., of the Law Offices of Ren

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael R. Fumo Name of the Respondent Access Financial Group, inc. Case Number: 02-02524 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Alan F. Block, Esq., of the firm Block & Landsman located in Chicago, Illinois represented Claimant Michael R. Fumo (Fumo). Jennifer M. Tryzna, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lillian Frances Watts Knight, Trustee of the Nora M. Watts Testamentary Trust Name of the Respondents Johnston Lemon & Co. Anne L. Sexton Case Nnmher 02-02521 Hearing Site: Washington, B.C. RFPRFSFNTATTON OF PARTTFS Claimant, Lillian Frances Watts Knight, Trustee of the Nora M. Watts Testamentary Trust ("Claimant"), was represented by Dan

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02520 Mary M. Podzilni, claimant vs. Jolanta Godwod, Rick Kellogg and A.G. Edwards & Sons, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Shawano, WI. For Respondents appeared in-house counsel, Michael Naccarato, Esq., St. Louis, MO. DATE FILED: April 30, 2002 CASE SUMMARY: Claimant alleged that respondents placed excessive trades without proper research and for the purpose

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02514 Michael Paul Duncan, claimant vs. Laura S. Jessup, respondent. ATTORNEYS: Claimant appeared pro se, Aurora, IL. For Respondent appeared Daren A. Luma, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith, New York, NY. DATE FILED: April 30, 2002 CASE SUMMARY: Claimant alleged that respondent failed to professionally resolve a stock option error made on his account. Cla