NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02419 Wall Street Access, claimant vs. Bradley Stouffer, respondent. ATTORNEYS: For Claimant appeared Denis P. Kelleher of the firm Kelleher, Leone & Schwartz LLP, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to satisfy his financial obligations to Wall Street Access in that hi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "Nfafflp-ft of Th fi ^^mants P^?? NvTTlbfiT' 01-06664 Dick B. Franklin arid Billie R. Franklin of th? F^frpofldgnts Hefting Sit?' Houston 3 Texas Prudential Securities Incorporated and William C. Skinner Claimants, Dick B. Franklin and Billie R. Franklin, hereinafter referred to as "Claimants": Donald M. Feferman, Esq., Law offices of Donald M. Feferman, located

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Bill J. Crossley and Lynda Crossley, Claimants v. Vanguard Capital, Deutsche Bank Alex. Brown, Inc., and Michael W. Kubinec, Respondents Vanguard Capital, Counter-Claimant v. Bill J. Crossley and Lynda Crossley, Counter- Respondents Case Number: 01-06663 Hearing Site: San Diego, California Nature of the Disputes: Customers vs. Members and Associated Person Member vs. Custome

Can 22 03 O3:05p MRTEER & SHRFFER LLP 214-720-991O p./ Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between CONNIE F1SK Claimant - against- Case No. 01-06662 BANC ONE SECURITIES CORPORATION Respondent REPRESENTATION OF PARTIES Claimant Connie Fisk 1 ("Claimant") was represented by Randal C. Shaffer. Esq. of Mateer & Shaffer in Dallas, Texas. Respondent Bane One Securities Corporation ("Responden

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joyce Nicol, Claimant v. First Union Securities, n/k/a Wachovia Securities, Jon Nelson, and James G. Osborne, Respondents Case Number: No. 01-06653 Hearing Site: New York, New York. REPRESENTATION OF PARTIES Claimant, Joyce Nicol, hereinafter referred to as "Claimant": appeared Pro Se. Respondents, First Union Securities, n/k/a Wachovia Securities, Jon Nelson, and J

NASD DISPUTE RESOLUTION AWARD NASft DISPUTE RESOLUTION CASE: 01-06651 Joseph Stevens & Co., Inc., claimant vs. Luther Cooper, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Surotwide Asset Recovery Group, Inc., Yodr, NY. Respondent appeared pro se, New YorJt, NY. DATE FTT.HD: December 10, 200X CASE SUMMARY: Claimant alleged that respondent failed 10 repay monies owed on a forgivable loan and under the terms of the Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-06650 Thomas E. Corrao, claimant vs. Michael Napoli, Joshua L. Baily, Inc., la Yang and American Express Financial Advisors, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Staten Island, NY. Respondent Michael Napoli did not appear. Respondent Joshua L. Baily, Inc., did not appear. For Respondents la Yang and American Express Financial Advisors, Inc., appeared Gary R. Irwin,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06646 Robert Tolbert Robert Tolbert and Anne Hassell JTWROS Names of the Respondents Hearing Site: Tampa, Florida Emerson Bennett & Associates Anthony A. Loeffler Barron Chase Securities, Inc. REPRESENTATION OF PARTIES For Robert Tolbert, and Robert Tolbert and Anne Hassell JTWROS, collectively referred to as "Claimants": J. Ben

Stipulated Award NASD ]n the Matter of the Arbitration Between: Name of the Claimant Arthur Matluck, as beneficiary of traditional IRA account Names of the Respondents Costa Financial Group, Inc., Andrew Costa and Allen Papp Case Number: 01-06642 Hearing Site: Boca Raton, Florida For Arthur Matluck, as beneficiary of traditional IRA account, hereinafter referred to as "Claimant": Richard B. Warren, Esq., Kelley & Warren, P.A,, West Palm

Mar-17-03 04:Q4pra From-NASD DISPUTE RESOLUTION 202-728-6952 Award NASD Dispute Resolution T-595 P.002/007 F-955 In the Matter of the Arbitration Between: nf the f?ase Number: 01-06640 Paul I Civatte, DPM and Helen M. Civatte Nrmie Edward D, Jones & Co. and Jeffrey Clifford Davis Tig Si'tft- Raleigh, North Carolina TTFft Claimants Paul J, Civatte, DPM and Helen M. Civatte, hereinafter collectively referred to as "Claimant