Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Barocci and Mary Anne Moloney (Claimants) v. Citicorp Investment Services and Scott Alers (Respondents) Case Number: 02-00737 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Barocci ("Barocci") and Mary Anne Moloney ("Moloney") hereinafter collectively referred to as "Claimants"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RJESQUJTION. INC. CASE: 00-02494 Richard iL Btaawothal and Linda Morgan, claimants vs. JPR Capital Corp.. respondent vs. Allison BhHnentbal, Third-Party Respondent. ATTORNEYS: For Claimants and Third-Party Respondent, Allison Blumemhal, appeared Victoria R. Picca, Esq., Blumeoihal & Lyra, P.O., New York, NY. For Respondent appeared Diane Mail Sanunarco, E$q.» of the firm Pressman & Tricn, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Basil T. Kaddik, (Claimant) v. TFS Securities, Inc. and Robert Paulus, (Respondents) Case Number: 02-00735 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Basil T. Kaddik hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq. a sole practitioner, Morristown, NJ. Respondents, TFS Securities, Inc., ("TFS") and Robert Paulus, ("Paulus"), hereinafter co

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Miriam Staloff Names of the Respondents Advest, Inc., Malcolm Berko and Roy Akers Case Number: 02-00734 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Miriam Staloff, hereinafter referred to as "Claimant", appeared pro se. For Advest, Inc. ("Advest"), Malcolm Berko ("Berko") and Roy Akers ("Akers"), hereinafter collectively referred to as "Responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00733 Ronald H. Wolf and Barbara W. Wolf, claimants vs. Morgan Stanley DW Inc., Dennis Bramlett and Robert Trulock, respondents. ATTORNEYS: Claimants appeared pro se, Greensboro, GA. For Respondents appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: February 6, 2002 CASE SUMMARY: Claimants alleged that respondents misrepresented material facts with respect to

NASD DISPUTE RESOLUTION AWARD *flSSD DISPUTE RESOLUTION CASE: 02-00732 Joseph Stevens & Company, claimant vs. James Bichel, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, of StreetWide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: February 6, 2002 CASE SUMMARY: Claimant alleged that respondent failed to pay for the purchase of 2,000 shares of Genta Inc. Claimant cont

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John E. Cavanaugh 1999 Trust (as restated); Jecco Novelties, Inc., a Nevada corporation; and John E. Cavanaugh, individually, Claimants v. Wells Fargo Securities, Inc., a California corporation; Wells Fargo Bank Nevada, N.A.; Todd Greimann, individually, and in his capacity with Wells Fargo; Janet Mello, individually, and in her capacity with Wells Fargo; and James Hackett, i

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants The Retirement Funds and Accounts of James and Connee Moffatt, and James and Connee Moffatt, Individually and as Beneficiaries of such Retirements Funds and Accounts V. 02-00726 Denver, Colorado Respondents Stanford Group Company and George P. Lares-Karageorgis REPRESENTATION OF PARTIES The Retirement Funds and Accounts of James and Connee Moffatt, and J

AWARD NASD Dispute Resolution NASD Arbitration No. 02-00725 In the Matter of the Arbitration Between Earl A. Braunlin vs. Merrill Lynch Pierce Fenner & Smith Inc. and Dennis L. Pauwels Respondents » REPRESENTATION OF PARTIES Earl A. Braunlin, M.D. ("Claimant") was represented by William Shepherd and Christopher J. Bebel of Shepherd, Smith & Bebel, PC located in Houston, Texas. Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("Merril

Stipulated Award NASD'Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Devin Bush and Kesha Bush, as Joint Tenants with Right of Survivorship Names of the Respondents Prime Charter, LTD. Kerry Hoffman Matthew Scheduler Case Number: 02-00722 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Devin Bush and Kesha Bush,