Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sutro & Co., Inc. k/n/a RBC Dain Rauscher Inc., Claimant v. Susan Sajjadi, Respondent Susan Sajjadi, Counter-Claimant v. Sutro & Co., Inc. n/k/a RBC Dain Rauscher Inc., Counter- Respondent Case Number: 02-01304 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irene T. Schmitt, Individually and as Trustee for the Benefit of the Irene T. Schmitt Living Trust, Claimant v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Henri B. Schkud, Respondents Case Number: 02-01299 Hearing Site: San Diego, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas and Linda Finochiaro Living Trust, Thomas T. Finochiaro, IRA, Thomas T. Finochiaro, Linda Finochiaro, and Linda Finochiaro, IRA (Claimants) vs. Raymond, James & Associates, Inc. and James Richard Haught, II, (Respondents) Case Number: 02-01296 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimants, Thomas and Linda Finochiaro Living Trust, Thomas

Awaru NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sister-Williams Associates, Inc. Case No. 00-02481 Names of Respondents John Thomas Moss Charlene Dawn Clayton American Express Financial Advisors, Inc. Nationwide Life Insurance Company REPRESENTATION OF PARTIES For Sisler-Williams Associates, Inc. ("Sisler-Williams"), hereinafter referred to as "Claimant": Judith Sisler Johnston, President

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01295 Joseph T. Mondello and Gloria M. Mondello, claimants vs. Edward Jones, respondent. ATTORNEYS: Claimant appeared pro se, Chardon, OH. For Respondent appeared in-house counsel Kimberly G. Anderson, Esq., St. Louis, MO. DATE FILED: February 5, 2002 CASE SUMMARY: Claimant alleged that respondent failed to properly research investments made on his account. Claimant maintained that due t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01293 Fahnestock & Co., Inc., claimant vs. Maryann Gehringer Roeglin, respondent. ATTORNEYS: For Claimant appeared in house counsel, Eric 1 Shames, Esq., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: February 5, 2002 CASE SUMMARY: Claimant alleged that upon termination of her employment respondent failed to repay additional compensation received under th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Macy and Carolyn Macy (Claimants) v. Tucker Anthony, Inc. n/k/a RBC Dain Rauscher, Inc. and Michael J. Alteri (Respondents) Case Number: 02-01291 Hearing Site: Albany, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Macy and Carolyn Macy ("The Macys") hereinafter collectively referred to as "Claimants"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01289 James J. Reilly, Claimant vs. CIBC Oppenheimer Corp., Respondent. ATTORNEYS: For Claimant appeared Candace M. Adiutori, Esq., of the firm Liddle & Robinson, New York, NY. For Respondent appeared in-house counsel, Michelle Murphy, Esq., New York, NY. DATE FILED: March 5, 2002 CASE SUMMARY: Claimant alleged that Respondent wrongfully terminated his employment and breached the cov

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp. nf fhft Claimant Hasft Number: 02-01288 Maxine R. Brewer, Name, nf the Respondents Hearing Site: Houston, Texas PaineWebber, Inc., UBS PaineWebber, Inc., David E. Harman, Claimant, Maxine R. Brewer, hereinafter referred to as "Claimant" was represented Olan J. Boudreaux, Esq. of Fisher, Boyd, Brown, Boudreaux & Huguenard, L.L.P. located in Houston, Texas. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf th^ Claimant Reggie M. Williams Name nf the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. David Vaughan Case- Number- 02-01280 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. KF.PRF.SF.NTATTON OF PARTTFS Claimant Reggie M. Williams, hereinafter referred to as "Claimant", was represented by John