Award NASD Dispute Resolution In tne Matter or the ArbitratiorTBetween: Names of the Claimants Case Number: 02-00410 Albert and Marjorie DiPaolo, Rev. Trust Marjorie A. DiPaolo, IRA— — Albert DiPaolo Names of the Respondents Hearing Site: Boca Raton, Florida K.W. Brown Investments Kenneth Brown 21st Century Advisors, Inc. REPRESENTATION OF PARTIES For Albert and Marjorie DiPaolo, Rev. Trust ("AMDT") Marjorie A. DiPaolo, IRA ("MAD") a

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00408 Elliot E. Brown Name of the Respondent Hearing Site: New Orleans, LA A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Elliot E. Brown, hereinafter referred to as "Claimant": Michael R. Guidry, Esq., New Orleans, LA. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter referred to as "Respondent": William S. Port, Vice President and Litigation

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Nowinski, Regina Nowinski, Elizabeth Tendler, Constance Nobis, Rudolf Nobis, Henry Sharpe, and Arline Sharpe, (Claimants) vs. Edward Angrisani, Edward Landen, The Equitable Life Assurance Society of the United States, Equico Securities, Inc., EQ Financial Consultants, Inc., AXA Advisors, LLC, Charles D. Erb, Charles D. Erb & Associates, Inc., CEA Financial Group, Inc., CE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the. Claimants Case. Number: 02-00400 The Robin Allen Revocable Trust, The Richard L. Kramer Trust, and The Weinberg Brothers Partnership, Ma™* nf the KftspnriHfints Hearing Site: Houston, Texas Morgan Stanley Dean Witter, and Peter Avelar, Claimants The Robin Allen Revocable Trust, The Richard L. Kramer Trust, and The Weinberg Brothers Partnership, hereina

Award NASD In the Matter of the Arbitration Between: Name of Claimant UBS PaineWebber Inc. Names of Respondents Dierk Lane Cockrell Morgan Keegan & Company, Inc. Case Number: 02-00399 Hearing Site: New Orleans, Louisiana REPRESENTATION OF PARTIES For UBS PaineWebber Inc. ("Claimant"): Michael D. Lee, Esq., Michael B. Roche, Esq. and James L. Komie, Esq., Schuyler, Roche & Zwirner, P.C., Chicago, Illinois. For Dierk Lane Cockrell ("Co

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/ Counterclaim Respondent McDonald Investments, Inc. and 02-00395 Chicago, Illinois Name of Respondent/ Counterclaim Claimant Lawrence Y. Lee Nature of the Dispute: Member v. Associated Person. Counterclaim: Associated Person v. Member. REPRESENTATION OF PARTIES McDonald Investments, Inc. ("Claimant/Counterclaim Respondent") or ("McDonald") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George M. Staursky, (Claimant) vs. Brecek & Young Advisors, Inc. and Al Feronti, (Respondents) Case Number: 02-00394 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant George M. Staursky, hereinafter referred to as "Claimant": Robert D. Kehoe, Esq., Keller & Kehoe LLP, Cleveland, OH. Claimant originally appeared pro se. Respondent Brecek & Young Advisors, Inc. ("Br

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant John E. Gabriel of the Respondents Lawrence R. Sarka, Murjen Financial, Inc. and First Union Securities, Inc. se Number: 02-00384 Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION" OF PARTIES Claimant, John E. Gabriel, hereinafter referred to as "Claimant", was represented by Robert M. Kramer, Esq., Attorney at Law, Pittsburgh, Pennsylva

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert F. Megaro, IRA, (Claimant) v. Pruco Securities Corporation and David Vargo, (Respondents) Case Number: 01-06892 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert F. Megaro, IRA, hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Freehold, NJ. Respondents, Pruco Securities Corporation ("Pruco Securities") and David Vargo ("Varg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 01-06890 Richard Eades, Zoe Ann Keep, Sure Step Guardrail Assembly, L.P., and Providence Financial, Inc. Nflm? of th p ^p Q p rn i < 1 ft1 ltff Irfr^flfing fti tfv Houston, Texas First Union Securities, Inc., and Buddie C. Ballard OF PAPTTTTS Claimants Richard Eades ("Eades"), Zoe Ann Keep ("Keep"), Sure Step Guardrail