Award NASD In the Matter of the Arbitration Between: Name of Claimant Charles A. Thurman Names of Respondents American Express Brokerage American Express Company American Express Financial Advisors, Inc. Case Number: 02-00966 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES Charles A. Thurman ("Claimant") of Deltona, Florida, appeared pro se. For American Express Brokerage, American Express Company, and American Express Finan

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Scarlett M. Mendoza (Claimant) v. SG Cowen Securities Corporation and SG Cowen Asset Management, Inc. (Respondents) Case Number: 02-00965 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Scarlett M. Mendoza ("Mendoza), hereinafter referred to as "Claimant": Steven J. Hyman, Esq., McLaughlin & Stern, LLP, New York, NY. Respondents, SG Cowen Securities Corporat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher L. Poli (Claimant) v. Prudential Securities, Inc. n/k/a Prudential Equity Group, Inc. (Respondent) Case Number: 02-00964 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Christopher L. Poli ("Poli") hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counterrespondent Case Number: 02-00963 Field Logan & Co., LLC Name of the Respondent/Counterclaimant Hearing Site: Louisville, Kentucky Janice Mayes REPRESENTATION OF PARTIES Claimant/Counterrespondent Field Logan & Co., LLC ("Claimant"): John Rende, San Rafael, California. Respondent/Counterclaimant Janice Mayes ("Respondent"): Robert W. Willmott, Jr.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: InvestPrivate, Inc., (Claimant) vs. Steven Gray, (Respondent) vs. Scott L. Mathis and Donald Geraghty, (Third Party Respondents) Case Number: 02-00960 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, InvestPrivate, Inc., hereinafter referred to as "Claimant": Scott Mathis, Chairman/President, InvestPrivate, Inc., New York, NY. Respondent, Steven Grey, hereina

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Gallo and Nancy Gallo, (Claimants) v. UBS Financial Services Inc., Irwin Maurice Schachter, Adam Schachter and Philip Weinsteiri (Respondents) Case Number: 02-00959 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Thomas Gallo and Nancy Gallo (the "Gallos"), hereinafter collectively referred to as "Claimants": Bruce E. Baldinger, Esq., Ba

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02516 Martin Lax, Claimant vs. Marc Minkoff and First Union Securities, Inc., Respondents. ATTORNEYS: Claimant appeared Pro Se., Palm Desert, CA. For Respondents appeared in-house counsel, James Vollins, Esq., Charlotte, NC. DATE FILED: June 13, 2000 CASE SUMMARY: Claimant alleged that the Respondents purchased stocks in his account with Claimant's knowledge or authorization. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Korb and Lynne Federman (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Fred Sherrill (Respondents) Case Number: 02-00958 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Korb ("Korb") and Lynne Federman ("Federman") hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Graeme Donald McMillan (Claimant) v. Josephthal & Co., Inc. and L. Vincent Gallick (Respondents) Case Number: 02-00957 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Graeme Donald McMillan ("McMillan") hereinafter referred to as "Claimant": Ross B. Intelisano, Esq., Rich Intelisano, LLP, New Yo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00955 Robert Owen and Carol Mary Owen, claimants vs. American Express Financial Advisors, respondent. ATTORNEYS: Claimants appeared pro se, Horsham, W. Susex, UK. For Respondent appeared Gary R. Irwin, Esq., of The Law Offices of Nash, Edgerton & Irwin, Minneapolis, MN. DATE FILED: February 19, 2002 CASE SUMMARY: Claimants alleged that respondent negligently purchased investments tha