NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00525 H&R Block Financial Advisors, Inc., claimant vs. Alvin Klein, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, ML Respondent appeared pro se, New York, NY. DATE FILED: January 29, 2002 CASE SUMMARY: Claimant alleged that respondent failed to meet minimum margin maintenance requirements on his account which forced claimant to debit respon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Gerald Maisner (Claimant) v. First Union Securities, Inc. and James Donley (Respondents) Case Number: 02-00522 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Gerald Maisner ("Maisner") hereinafter referred to as "Claimant": Theodore G. Eppenstein, Esq. and Matthew W. Woodruff, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Candido Rodriguez (Claimant) v. Dupont Securities Group, Inc. (Respondent) Case Number: 02-00518 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Candido Rodriguez ("Rodriguez") hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, Uniondale, NY. Respondent Dupont Securities Group, Inc. (

NASD Dispute Resolution Arbitration No. 02-00517 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Yosef and Natali Kvitelashvili, (Claimants) vs. Merrill Lynch, Pierce, Fenner and Smith Inc. and Margaret Zolotoy-Jones, (Respondents) Case Number: 02-00517 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Yosef and Natali Kvitelashvili, hereinafter referred to as "Claimants": appeare

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00515 David Weinstock and Svetiana Weinstock, claimants vs. Ameritrade, respondent. ATTORNEYS: For Claimants appeared Subhash Choudhry, Indianapolis, IN. Respondent appeared through its in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. DATE FILED: January 28, 2002 CASE SUMMARY: Claimants alleged that respondent negligently maintained claimants' account. Claimants contended that re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00513 Bond Holders, Inc., a Florida Corporation c/o Thomas D. Jackson, President Names of the Respondents Hearing Site: Atlanta, Georgia Salomon Smith Barney, Inc. Patrick J. Buffa Joe Tom King William Stevenson Sally Casey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-00510 Lorraine Shendles, through her Powers of Attorney Name of Respondent Hearing Site: Boca Raton, Florida Chase Investment Services Corp. REPRESENTATION OF PARTIES For Lorraine Shendles, through her Powers of Attorney, hereinafter referred to as "Claimant": Lonnie Martens, Esq., The Martens Law Firm, Tequesta, Florida. For Chase Investment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gulfstream Asset Management Corp. Names of Respondents Richard Allen Sitomer Millennium Securities Corp. Case No. 00-02447 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Gulfstream Asset Management Corp. ("Gulfstream") hereinafter referred to as "Claimant": Stanley T. Padgett, Esq., Morgan, Padgett & Mierzwinski, P.A., Tampa,

Award NASD Dispute Resolution In the Matter 01 the Arbitration Between: Names of the Claimants ' Case Number: 02-00508 Mohammad and Azmina Kassamali, JTTEN Mohammad Kassamali Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mohammad and Azmina Kassamali, JTTEN (M & AK) and Mohammad Kassamali ("MK"), hereinafter referred to as "Claimants"

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00507 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Stephen Todd Smith For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., Staten Island, New York. Stephen Todd Smith, hereinafter referred to as "Respondent," appeared pro se. CASE INFORMATION Statement of Claim filed on or about; Janu