NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01277 Alex R. Gromak and Judy A. Gromak, claimants vs. Morgan Stanley Dean Witter, respondent. ATTORNEYS: For Claimants appeared Jeffrey P. Coleman, Esq., Clearwater, FL. For Respondent appeared Matthew G. Schindel, Esq., of the firm Gray Harris Shackleford Farrior, Tampa FL. DATE FILED: March 5, 2002 CASE SUMMARY: Claimants alleged that respondent failed to transfer their IRA accounts i

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-01276 Rela Jerome Names of Respondents Hearing Site: Memphis, TN Mike Stein Prudential-Bache Securities, Inc. First Union Securities, Inc. REPRESENTATION OF PARTIES For Rela Jerome, hereinafter referred to as "Claimant": David E. Gordon, Esq., Gordon Law Group, Memphis, TN. For Respondents Mike Stein ("Stein") and Prudential-Bache Sec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Sigrid M. Peterson Names of the Respondents SouthTrust Corporation SouthTrust Bank, Inc. SouthTrust Securities, Inc. GE Life and Annuity Assurance Company Robert James Miller Case Number: 02-01275 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Sigrid M. Peterson ("Claimant"): Kim E. Bouck, Esq., Bouck & Chanfrau, Daytona Bea

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Farhad Garakani, Claimant v. Ameritrade, Inc., Respondent Case Number: 00-02476 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Farhad Garakani In Pro Per Culver City, California For Respondent: Andrew J. Harger, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed: June 3, 2000 Claimant's Unif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gwen Korovin and Jack Uram, on behalf of Harriet Uram (Claimants) vs. First Montauk Securities Corp., David A. Garfinkel, Robert I. Rabinowitz, Herbert Kurinsky, and John Does 1-25.., (Respondents) Case Number: 02-01269 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Gwen Korovin ("Korovin") and Jack Uram, on behalf Harriet Uram ("Uram"), hereinafter collec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: P]fl-jfrtfmfg Pggp Nurnlv^r: 02-01268 Peter Piwowarczyk Dependable Contractors, Inc. Peter Piwowarczyk, Inc. nffog Pf t ffp n rid p nt'S Hiring ^j| p ' Philadelphia, PA Sepulveda & Smith Securities, Inc. Sandgrain Securities, Inc. Auerbach, Pollak & Richardson, Inc. Whale Securities Corporation, n/k/a Bluestone Capital Corporation Step

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f.ase Number 02-01266 Maria A. Guerrero, Name nf the Respondent Hearing Site! Houston, Texas Waddell & Reed, Inc., OF Claimant Maria A. Guerrero, hereinafter referred to as "Claimant," appeared pro se. Respondent Waddell & Reed, Inc., hereinafter referred to as "Respondent/* was represented by Katherine L Funk, Esq. of Sonnenschein Nath & Rosenthal, located in Washington, B.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Esther Herskovits (Claimant) v. Ladenburg Capital Management Inc. a/k/a GBI Capital Partners Inc., Michael Raimo and Ladenburg Thalmann & Co. (Respondents) v. Gary Herskovits (Third Party Respondent) Case Number: 02-01264 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person v. Customer REPRESENTATION OF PARTIES Claimant Esther Herskov

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nfthft Claimants Clasp. Number 02-01258 Action Loans, Inc., Unified Loans, Inc., TsTamp. nf thf» Respondent Hearing Site- Albuquerque, New Mexico Salomon Smith Barney, Inc., OF PAPTTF.R Claimants Action Loans, Inc. and Unified Loans, Inc., hereinafter referred to as "Claimants," were represented by Corey W. Haugland, Esq. of James, Goldman & Haugland, PC located in El Pa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: i Name, nf the, Claimants Case Number: 02-01257 Michael Hubert and Jennifer Hubert Name of the. Respondents Hearing Siter Chicago, Illinois Prudential Equity Group Inc., and Steven S. Williams REPRESENTATION Claimants, Michael; Hubert and Jennifer Hubert, hereinafter collectively referred to as "Claimants": James J. Eccleston, Esq., and Ronald M. Amato, Esq., of Shahee