NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06695 Thomas C. Egan, Jr., claimant vs. Bluestone Capital Corp., respondent. ATTORNEYS: For Claimant appeared Hay ward Richard Pressman, Esq., of the firm Pressman & Trien, New York, NY. For Respondent appeared David S. Richan, Esq., of the firm Blank Rome Tenzer Greenblatt, LLP, New York, NY. DATE FILED: December 11, 2001 CASE SUMMARY: Claimant alleged that respondent breached

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: Adeline K. Stark, Individually, and Trustee f/b/o Adeline Klein Stark 01-06690 Revocable, Living Trust, u/a/d 3/26/91 Names of the Respondents Hearing Site: Salomon Smith Barney, Inc. and Andrew Banks Boca Raton, FL REPRESENTATION OF PARTIES For Adeline K. Stark, Individually, and Trustee f/b/o Adeline Klein Stark Revocable, Living Tr

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Alberta Endres V. 01-06687 Minneapolis, Minnesota Respondents Triad Advisors, Inc., Edward Davig and Davig Financial Corporation REPRESENTATION OF PARTIES Alberta Endres ("Claimant") was represented by Harvey H. Eckart, Esq., of Harvey H. Eckart Law Office, St. Paul, Minnesota. Triad Advisors, Inc. ("Triad"), Edward Davig ("Davig") and Davig Financial

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Steven Michael Faso and 01-06683 Chicago, Illinois Name of Respondents Natcity Investment Inc., and Paul C. Dietz Nature of Dispute: Customer v. Member and Associated person. REPRESENTATION OF PARTIES Steven Michael Faso ("Claimant") was represented by Howard Stein, Esq., located in Chicago, Illinois. Natcity Investments, Inc., ("Natcity") and Pau

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Karl B. Groth, Kari J. Groth and Paul R. Koch V. 01-06681 Minneapolis, Minnesota Respondents (Consolidated w/ 02-00716) Miller Johnson Steichen Kinnard, successor to John G. Kinnard and Company Inc., and John G. Kinnard and Company Inc. Claimant John G. Kinnard and Company Inc. V. Respondents Karl B. Groth, Kari J. Groth and Paul R. Koch REPR

AWARD i NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dennis Good ' * i and , 01-06680 Omaha, Nebraska Name of Respondents Raymond James Financial Services, Inc. Winfield Mayne REPRESENTATION OF PARTIES "" Dennis Good, hereinafter referred to as "Claimant", was represented by Gail E. Boliver,Esq., of the firm Boliver Law Firm, Marshalltown, Iowa. Raymond James Financial Services, Inc. and W

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06676 Sharon R. Manion and Dale Ward, claimants vs. A.G. Edwards & Sons, Inc. and Richard J. Orzechowski, respondents. ATTORNEYS: Claimants appeared pro se, Belleville, WI. For Respondents appeared Matthew R. Salamon, in house counsel, St. Louis, MO. DATE FILED: December 10, 2001 CASE SUMMARY: Claimants alleged that respondents' unauthorized trade, failure to supervise their ac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fr nf ffop r'lajrnflnTff P^CP Number 01-06672 Julius and Betty Krantman ,Narn p nftfrg p p< :pnri< tents Hiring ^Jt fi ' St. Louis, Missouri Cutter & Company, Inc.; and Darrell Thompson PAPTTES Claimants Julius and Betty Krantman ("Krantman") were represented by Stuart R. Berkowitz, Esq. of the firm of Platke and Berkowitz, LLP, located in St. Louis, Missouri.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of thf. Piimant - 01-06669 Ray Khavanin of thp P f*gprmftent/Tfrjff| Party Financials and Securities, Inc. Hearing Site" Milwaukee, Wisconsin of the Rooz Abbas Eftekhari PF.PPF.SF.NTATTfHV OF PAPTTF.S Claimant Ray Khavanin ("Khavanin"): Mark E. Sanders, Esq. of the firm of Mailings & Cayo, S.C., located in Milwaukee, Wisconsin. Respondent/Third Party Claimant

Stipulated Award NASD hi the Matter of the Arbitration Between: JVB Financial Group, LLC, Claimant v. Kristian Sierp and Michael Maggio, Respondents Case Number: 01-06668 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For JVB Financial Group, LLC ("JVB"), hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Delmer C. Gowing, in, P.A., Delray Beach, FL. Respondent Kristian Sierp ("Sierp") appeared pro se. Respondent Michae