NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01145 Toni Lee Christensen and John Mark Christensen, claimants vs. Fidelity Brokerage Services LLC, respondent. ATTORNEYS: Claimants appeared pro se, DeLand, FL. For Respondents appeared in-house counsel, Colleen A. Hankins, Esq., Boston, MA. DATE FILED: February 27, 2002 CASE SUMMARY: Claimants alleged that respondent changed their trading privileges without cause which hampered th

In the Matter of the Arbitration Between: Names of the Claimants Sharon and Frank Stola Name of the Respondent Morgan Stanley Dean Witter, Inc. Case Number: 02-01143 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sharon and Frank Stola, hereinafter collectively referred to as "Claimants": Lloyd R. Schwed, Esq., Hubert McGinley, Esq., and Jeremy M. Colvin, Esq., Kubicki Draper, P.A., West Palm Beach, Florida. For Morgan Stanl

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-01140 Royd M. Crabtree Names of the Respondents Hearing Site: New Orleans, LA Merrill Lynch, Pierce, Fenner & Smith, Inc. A.G. Edwards & Sons, Inc. T. Eric Mosley REPRESENTATION OF PARTIES For Floyd M. Crabtree, hereinafter referred to as "Claimant": Joseph A. Zarzaur, Jr., Esq., McKenzie & Taylor P.A., Pensacola, FL. For Respondents Merrill Lynch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Case Number: 02-01128 David Chacon Name of the Respondents/Counter-Gaimant Hearing Site: Chicago, Illinois Citigroup Global Markets, Inc., formerly know as Salomon Smith Barney, Inc.; Robert Perry; Sanford I Weill; Michael Alan Carpenter; Jay Phillip Mandelbaum; Richard Kirk Olson; Gregory Frank Laetsch; Jerrold Lee Eberhardt; and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donaldson, Lufkin & Jenrette Securities Corporation n/k/a Pershing LLC, Claimant v. Jeffrey D. Schrock, Respondent Case Number: 02-01127 Hearing Site: Seattle, Washington Consolidated with: Jeffrey D. Schrock, Claimant v. Donaldson, Lufkin & Jenrette Securities Corporation n/k/a Pershing LLC and Peter DeCastro, Respondents Case Number: 04-01050 Hearing Site: Seattle, Washington

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CA§E: 02-01117 Mission Capital Investment Group, Inc., claimant vs. Daniel Caraow, respondent. ATTORNEYS: For Claimant appeared Bruce W. Atwell, Esq., Irvine, CA. Respondent appeared pro se, La Mesa, CA. DATE FILED: February 25, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay money claimant advanced under the terms of the Independent Contractor's Agreement. ARBITRATOR'S RE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark B. Weinraub, (Claimant) vs. Glen Rauch Securities, Inc., Michael Weinraub, and Bear Stearns Securities Corp., (Respondents) Case Number: 00-02468 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Mark B. Weinraub, hereinafter referred to as "Claimant": Albert A. Rapoport, Esq., a sole practitioner, Boca Raton, PL. At the hearing, on behalf of Claimant, a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-01116 M. David Alaiof and Meryl H. Alalof, Claimants vs. Samuel Taylor Noland, Respondent. ATTORNEYS: Claimants appeared pro se, Augusta, GA. Respondent appeared pro se, Villa Rica, GA. DATE FILED: February 25, 2002 CASE SUMMARY: Claimants alleged that respondent executed trades without Claimant's authorization. Claimants further alleged that Respondent engaged in negligent and unauthori

Awaru NASD Dispute Resolution In the Matter of the Arbitration Between: InvestPrivate, Inc., (Claimant) vs. Thomas Simon, (Respondent) Case Number: 02-01114 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, InvestPrivate, Inc., hereinafter referred to as "Claimant": Michael S- Colombo, President/CEO StreetWide Asset Recovery Group, Inc., New York, NY. Respondent, Thomas Simon, hereinafter referred to as "Respondent": did not enter an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bijan Moghadam and Sunlite Management, Inc. V. 02-01110 Denver, Colorado Respondents UBS PaineWebber, Inc. and Ashwani K. Sahai REPRESENTATION OF PARTIES Bijan Moghadam and Sunlite Management, Inc. ("Claimants") appeared pro se. UBS PaineWebber, Inc. ("PaineWebber") and Ashwani K, Sahai ("Sahai") were represented by Payne L. Templeton, Esq., of UBS PaineWebb