OS'2S '2U02 10;47 FAl NASD REFLATION ' @003 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02461 Frederic Tovar, claimant vs. Florida Discount Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro sc, Miami, FL. For Respondent appeared Bruce R Rich, President and CEO, Boca Raton, FL- DATE FILED: April 26, 2002 CASE SUMMARY*. Claimant alleged that respondent failed to execute his purchase order. Claimant maintained that d

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fat Boy Partners, LLC; Gblatt, LLC; Chimera, LP; and Jared Gerstenblatt; (Claimants) v. Momentum Securities, LLC n/k/a E*Trade Professional Trading, LLC; and Tradescape Corp.; (Respondents) v. Daniel Adams; Christopher Grimaldi; Adam Mesh; and Sean Hendelman (Third-Party Respondents). Case Number: 02-02460 Hearing Site: New York, New York Nature of the Dispute: Non-Members and Assoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02457 Curtis Rabon, claimant vs. Paul Ellson and Dominick M. Bianco, respondents. ATTORNEYS: Claimant appeared pro se, Warren, MI. For Respondent Paul Ellson appeared Dominick M. Bianco, Chief Compliance Officer, Carle Place, NY. Respondent Dominick M. Bianco appeared pro se, Carle Place, NY. DATE FILED: April 26^2002* CASE SUMMARY: Claimant alleged that respondents purchased unsuita

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 02-02450 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Laurence B. Tipton, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant": Rick A. Buchwalter, Vice President, As

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-02449 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Orlando, Florida Peter P. Veugeler REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Claimant"): Rick A. Buchwalter, Vice President and Assistant Corporate Counsel with Claimant, St. Petersburg, Florida. Peter P. Veugeler ("Respondent") did not appe

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-02608 Steven & Jennifer Crosby Name of the Respondents Hearing Site: Houston, Texas Hampton-Porter Investment Bankers, LLC, H-P Holdings LLC, Fiserv Securites Inc., successor in interest to Fiserv Correspondent Services, Inc., Gregory Dubois Walker, Daniel McClure, James Dale Green, John William Laurienti, Samuel Tedesco,

( Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CIBC World Markets Corp. d/b/a CIBC Oppenheimer, (Claimant) vs. Jordan Berlin, Steven Adler, Mark Levy, and C.E. Unterberg Towbin, (Respondents) Case Number: 00-00293 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, CIBC World Markets Corp., hereinafter referred to as "Claimant": Louis R. Satriale, Jr., Esq., Kasowitz, Benson, Torres & Friedman LLP, N

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joann M. Anderson, individually, vs. Name of Respondents Morgan Stanley DW Inc., and Michael Doubleday, individually 02-02446 Phoenix, Arizona Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joann M, Anderson ("Claimant") was represented by Robert S. Mitche^ Esq., MtchelJ,Law Office^ Phoeni

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey E. Friesz (Claimant) v. Prime Charter Ltd.; Fahnestock & Co., Inc., n/k/a Oppenheimer & Co., Inc.; and Wayne Leiberz (Respondents) Case Number: 02-02443 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Jeffrey E. Friesz ("Friesz") hereinafter referred to as "Claimant": Anthony G. Covatta,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thp riairnanK- fflSf NlirnhftT: 02-02427 TuNan Wang Youfang \Vnes nf thf Rp^pnnHpnt* Hearing Sile: \X ? ashington. DC Merrill Lynch. Pierce. Fenner & Smith. Inc. Katnuad Atassi Thomas A. Duval Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTITA Claimants. Tu Nan and Wang Youfang. hereinafter collectively