Award NASD Dispute Resolution In the Matter of the Arbitration Between: n f fof Claimant Casr Number: 02-02 1 44 Angela Michel nf t>|p Rp.sponftents HearingJSiie: Milwaukee, Wisconsin Robert W. Baird and Erik C. Andersen OFPAPTTFS Claimant Angela Michel hereinafter referred to as "Claimant": Mark E. Sanders, Esq. of Hailing & Cayo, S.C., located in Milwaukee, Wisconsin. Respondents Robert W. Baird & Co., Incorporated ("Baird") and Erik C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant First Union Securities Inc. n/k/a Wachovia Securities, Inc. y 02-02143 Denver, Colorado Respondent Kevin M. Barrett REPRESENTATION OF PARTIES First Union Securities Inc. n/k/a Wachovia Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq., Chicago, Illinois. Kevin M. Barrett ("Respondent") was represented by Stuart Bennet, Esq., of Brega &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-02135 UBS/PaineWebber n/k/a UBS Financial Services, Inc., claimant vs. Wesley Brumfield, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent appeared pro se, Alpharetta, GA. DATE FILED: 02-02135 CASE SUMMARY: Claimant alleged that respondent breached an employment contract when he failed to repay monies owed in accordance with a Confid

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants SanjayJain Case Number: 02-02134 Name of the Respondent Hearing Site: New York, NY Broadband Capital Management, LLC REPRESENTATION OF PARTIES Claimant, Sanjay Jain, hereinafter referred to as "Claimant": Marc J. Ross, Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent, Broadband Capital Management, LLC, hereinafter referred to as "

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. Isenberg, Trustee and Chex Finer Foods, (Claimants) v. UBS PaineWebber Inc., Edward Kershner, Stephen Brown, and Timothy Sweetser, (Respondents) Case Number: 02-02132 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimants, David Isenberg ("Isenberg") and Chex Finer Foods ("Chex"), hereinafter (collectively) referred to as "Claimants": Stephen Rabinowitz, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: E*Trade Securities, Inc., Claimant v. Aaron Swanson, Respondent Case Number: 02-02129 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jojiro Takano Steefel, Levitt & Weiss San Francisco, California John Bersin E*Trade Securities, Inc. Rancho Cordova, California For Respondent: Aaron Swanson Boulder, Colorado CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam Horowytz, individually and as the holder of his IRA, Ellen Horowytz, individually and as beneficiary of the IRA of Adam Horowytz, and Adam Horowytz as custodian for Andrew J. Horowytz, Hillary B. Horowytz, and Jared Horowytz, (Claimants) v. BHC Securities, Inc. a/k/a Fiserv Investor Services, Inc., BHCM Inc. a/k/a Fiserv Investor Services, Inc., Summit Financial Services Group,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Debra Janousek-Buntemeyer, individually and as custodian for Tyler J. Janousek and Tyler J. Janousek and Names of Respondents Investacorp, Inc. and Marcia K. Campbell Case Number: 02-02122 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Debra Janousek-Buntemeyer and Tyler J. Janousek ("Claimants") were represented by Rodney K. Vi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02121, J. Frederick Agel and Lillian Agel, individually and as JTWROS Names of the Respondents Hearing Site: Atlanta, Georgia Salomon Smith Barney, Inc. s/d/b/a Robinson Humphrey The Robinson Humphrey Company, LLC s/d/b/a Smith Barney Asset Management Mary Allison Mullis a/k/a Mary Allison Ballew a/k/a Mary Allison Jamis

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Liza Anita Mehta and Occigems Inc. (Claimants) v. Whale Securities Co., L.P. n/k/a BlueStone Capital Corp., Edward Bauer, and Craig Schmell (Respondents) Case Number: 02-02115 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Liza Anita Mehta ("Mehta") and Occigems Inc. ("Occigems") hereinafte