NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00647 Norma Russo and Frank Russo, claimants vs. Janney Montgomery Scott, respondent. ATTORNEYS: Claimants appeared pro se, Heathrow, FL. For Respondent appeared Nathalie M. Felix, Esq., of the firm Fowler White Burnett, P.A., Miami, FL. DATE FILED: February 4, 2002 CASE SUMMARY: Claimants alleged that respondent purchased unsuitable investments that were contrary to their investment

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00646 Curtis Moerbe and Lorene Moerbe, claimants vs. M.H. Meyerson & Co., Inc., respondent. ATTORNEYS: For Claimants appeared Chris Booth, Esq., of the firm Mehaffy & Weber, Beaumont, TX. For Respondent appeared in-house counsel, Philip T. Frank, Esq., Jersey City, NJ. DATE FILED: February 4, 2002 CASE SUMMARY: Claimants alleged that respondent placed them in a bond (Alpargatas S.A.I.C.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Elaine G. Edinburg V. 02-00637 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Todd M. Schwartz REPRESENTATION OF PARTIES Elaine G. Edinburg ("Claimant") was represented by Paul G. Bursiek, Esq., of Pendleton Friedberg Wilson & Hennessey, Denver, Colorado. Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Todd M. Schwa

Award NASD Dispute Resolution In the Matter of the Arbitration Between; nf fi-|p Ofliroflnt/C n i?^tfir-P^ Q p n tHcfl.t Cfl^? NumfrgF- 02-00635 RBC Dain Rauscher Inc. Hiring Sit p ' Dallas, Texas David A. Shelley Claimant/Counter-Respondent RBC Dain Rauscher Inc. ("RBC Dain") was represented by Terrence J. Fleming, Esq. of Lindquist & Vennum P.L.L.P., located in Minneapolis, Minnesota Respondent/Counter-Claimant Davi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00631 Leah Rosenblatt, claimant vs. CIBC Oppenheimer, John Laurence Page, Gary J. Gross and Arthur W. Lewis, respondents. ATTORNEYS: For Claimant appeared Carole R. Bernstein, Esq., Westport, CT. Respondent John Laurence Page appeared pro se, Boca Raton, FL. Respondent Gary J. Gross appeared pro se, Boca Raton, FL. For Respondents CIBC Oppenheimer and Arthur W. Lewis appeared in-ho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Berry-Shino Securities, Inc., (Claimant) vs. James Pepio, (Respondent) Case Number: 02-00628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Berry-Shino Securities, Inc., hereinafter referred to as "Claimant": Michael S. Finkelstein, Esq., a sole practitioner, Garden City, NY. Previously represented by: Michael S. Colombo, StreetWide Asset Recovery Group, Inc.,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kay Bishop, Independent Administrator of the Estate of Lev Windham and 00-2460 Denver, CO Name of Respondents Prime Charter, LTD REPRESENT ATTON OF PARTIES Kay Bishop, Independent Administrator of the Estate of Lev Windham ("Claimant") was represented by Jay David Hartnett of the Hartnett Law Firm, Dallas, TX Prime Charter, LTD ("Respondent") wa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tucker Anthony Incorporated, (Claimant) vs. Paul David Cronin, (Respondent) Case Number: 02-00622 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tucker Anthony Incorporated, hereinafter referred to as "Claimant": Karl L. Marquardt, Esq., Bressler, Amery & Ross, P.C., New York, NY. Respondent, Paul D. Cronin, hereinafter referred to as "Respondent", did not make

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 02-00620 Joseph Stevens & Company, claimant vs. William Wright, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of the firm StreetWide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: February 1, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay an unsecured debit balance in

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 02-00613 American Express Financial Advisors, claimant vs. Maria Tsybulnik and Michael L. Tsybulnik, respondents. ATTORNEYS: For Claimant appeared Peter Raymond, Director of Cash Management, Minneapolis, MN. Respondents did not respond to the Statement of Claim. DATE FILED: January 31, 2002 CASE SUMMARY: Claimant alleged that respondents failed to pay a debit balance on their acco