Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney Sussman and Sidney Sussman, IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Glen J. Peters (Respondents) Case Number: 02-00612 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Sidney Sussman and Sidney Sussman, IRA ("Sussman") hereinafter referred to as "Claimant": Ralph

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ki Hong Ahn and Mee Sook Ahn (Claimants) v. Bluestone Capital Corp., H.C. Wainwright & Co., Inc., Andy H. Kim, Herbert Rodriguez, Jr., Scott Edward Landrem, Kamal Mustafa, Kerry Joseph Dukes, William G. Walters, Matthew Arthur Gohd, Donald J. O'Connor, Karen Marie Midlaw, Stephen Dalton Barrett, Robert Lee Clark, Saro Joseph Picciotto, and Stephen Robert Yardumian (Respondents) Case

Award NASD Dispute Resolution In the Matter of the Arbitration Between: C.ase, Number- 02-00604 UBS PaineWebber, Inc., Nflmp. of the Respondent Hearing Site- Houston, Texas Roberta M. Caulfield, OF PAKTTFS Claimant UBS PaineWebber, Inc., hereinafter referred to as "Claimant," was represented by Brent A. Burns, Esq. of Davidson, Manchel & Brennan LLP located in Northvale, New Jersey. Respondent Roberta M. Caulfield, hereinafter referred to as "Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Doris A. Costa Living Trust and Doris A. Costa, individually and as Trustee and 02-00603 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Scott A. Sibley REPRESENTATTON OF PARTIES Doris A. Costa Living Trust and Doris A. Costa, individually and as Trustee ("Claimants") were represented by Robert D. M

Award NASD Dispute Resolution In the : Matter of the Arbitration Between: Name of the Claimant UBS PaineWebber, Inc. Name* nfthe Respondent Robert Kopstein Number- 02-00600 Hearing Site- Richmond, Virginia RFPRFSF.NTATTON OF PARTIES Claimant UBS PaineWebber, Inc., hereinafter referred to as "Claimant", was represented by Jonathan Rosenberg, Esq., Charles Bachman, Esq. and Gayle Pollack, Esq., O'Melveny & Meyers, LLP, New York, Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00599 Prime Charter Ltd., Inc., and Fahnestock & Co., Inc., claimants vs. Steven B. Landsberg, respondent. ATTORNEYS: For Claimants appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Boca Raton, FL. DATE FILED: January 30, 2002 CASE SUMMARY: Claimants alleged that respondent failed to repay monies owed on a promissory note upon termination of h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn Raines, Claimant vs. Sentra Securities Corporation, Respondent Case Number: 02-00598 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Ryan K. Bahktiari, Esq. Aidikoff&Uhl i Beverly Hills, California For Respondent: Michael R. Hall, Esq. Hall Jaffe& Clayton Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: January 31,2

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02458 The Hazelwood Family Living Trust, A. B. Hazelwood, TTEE, claimant vs. Sutro & Co., Inc., David Broyles, and Mark Bussey, respondents. ATTORNEYS: Claimant appeared through its Trustee, A.B. Hazelwood, Pro Se, Sun Lakes, AZ. For Respondents appeared Debra A. Mooney, Vice President and Senior Compliance Examiner of Sutro < fe Co., Inc., San Francisco, CA. DATE FILED: June 7, 200

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-00590 Patricia B. Williams Joseph A. Jablon, her son Names of the Respondents Hearing Site: Tampa, Florida J.P. Turner & Company, L.L.C. Daniel Dellarosa REPRESENTATION OF PARTIES For Patricia B. Williams and Joseph A. Jablon, her son, hereinafter collectively referred to as "Claimants": Eric E. Ludin, Esq., Piper, Ludin, Howie & We

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Robert A. Andreas and Susan B. Andreas No. 02-00574 Claimant, And Merrill Lynch Pierce Fenner & Smith, Inc., Kirk J. Gill and John Simonson, Respondents REPRESENTATION OF PARTIES Robert A, Andreas and Susan B. Andreas were represented by David A. Anson, Esq. of Anson, Lammers and Barkley. Merrill Lynch was represented by Todd D. Brody, Esq. of Morgan Lewis.