AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Paul J. Mallek and 01-06889 Chicago, Illinois Name of Respondents Gruntal & Company, L.L.C. and Christopher T. Norman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Paul J. Mallek ("Claimant") was represented by Mark S. Boyle, Esq., located in Chicago, Illinois. Gruntal & Company, L.L.C. (Gruntal), orig

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Beverley Zier and Larry Zier Name of the Respondents Charles Schwab & Co, Donald H. Bakhaus, and Kenneth B. Kann Case Number: 01-06887 Hearing Site: Phoenix, Arizona REPRESENTATTQN OF PARTIES Claimants Beverley Zier and Larry Zier hereinafter collectively referred to as "Claimants": Shoshana Ordonez-Epstein, Esq. of the firm Ordonez Epstei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James D. Roemer and Mary A. Roerner V. 01-06885 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray and Todd E. Arens REPRESENTATION OF PARTIES James D. Roemer and Mary A. Roemer ("Claimants") were represented by Dwight G, Rabuse, Esq., of Uvgard & Rabuse, L.L.P., Minneapolis, Minnesota. U.S. Bancorp Piper Jaffray ("U.S. Bancorp") and Todd E. A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02436 Deborah Smith, Claimant vs. Naishad D. Shah and Keaton Financial Services, Inc., Respondents. ATTORNEYS: Claimant appeared through Dayton P. Haigney, III, Esq., New York, NY. Respondent, Naishad D. Shah, ("Shah"), did not respond to the Statement of Claim. For Respondent, Keaton Financial Services, Inc., ("Keaton"), appeared Kalyani Munshani, Esq., New York, NY. DATE FILE

I Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06882 Gary Levinson Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, inc. d/b/a Morgan Stanley REPRESENTATION OF PARTIES For Gary Levinson, hereinafter referred to as "Claimant": Jeffrey Sonn, Esq., Sonn & Erez, PLC, Ft. Lauderdale, Florida. For Morgan Stanley DW, Inc., d/b/a/ Morgan Stanley ("MSDW"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Brian Edward Kmiec, Respondent Case Number: 01-06878 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Wedbush Morgan Securities Inc. Gary L. Holmes, Esq. Los Angeles, California For Respondent: Brian Edward Kmiec In propria Persona San Diego, California CASE INFORMATION Statement of Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant American Express Financial Advisors, Inc. Name of the Respondent Gale Andrew Harvey Case Number: 01-06874 Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Claimant American Express Financial Advisors, Inc. ("Claimant"): James H. Drescher, Esquire, of Stokes, Bartholomew, Evans & Petree, Nashville, Tennessee. Respondent Gale Andrew Har

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06869 Mitchell Leotis Ann Leotis Donald Angela Ruth Angela James Huff Names of the Respondents Hearing Site: Tampa, Florida Henry Kremer Lori Kremer Raymond James & Associates REPRESENTATION OF PARTIES For Mitchell Leotis ("M. Leotis"), Ann Leotis ("A. Leotis"), Donald Angela ("D. Angela"), Ruth Angela ("R. Angela") and Jame

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrea Dobin, Bankruptcy Trustee hi re: Chen, Huan (Irving) and Sau F., (Claimant) v. Donald & Co. Securities, Inc., Edwin Rivera and Stephen Blum, (Respondents) Case Number: 01-06868 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Andrea Dobin, Bankruptcy Trustee, hi re: Chen, Huan (Irving) and Sau F., hereinafter referred to as "Claimant": Brad S. Maistrow, Esq

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Libby, (Claimant) v. Barclays Capital, Inc., (Respondent) Case Number: 01-06866 Hearing Site: New York, NY Nature of the Dispute: Associated Person v. Member Firm REPRESENTATION OF PARTIES Claimant, Jason Libby, was represented by Laurence S. Moy, formerly of Liddle & Robinson, LLP and now of Outten & Golden, LLP, both located in New York, New York. Responde