AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kristin A. Fields, f/k/a Kristin J. Schwartz v. 01-06638 Denver, Colorado Respondents Securities America, Inc., and Gary J. Freiberg Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Kristin A. Fields ("Claimant") was represented by Susan Bemhardt, Esq., of Netzorg, McKeever, Koclanes & Bemhardt, Denver, Colorado. Secur

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02418 Wall Street Access, claimant vs. Marc Lewis, respondent. ATTORNEYS: For Claimant appeared Denis Kelleher Esq., 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 repay a debit balance created in the account from a loss on an unsol

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shirley J. Kirshner, Claimant Case Number: 00-00266 Vs. Hearing Site: Cleveland, Ohio A.G. Edwards & Sons, Inc. Respondent. REPRESENTATION OF PARTIES Claimant Shirley J. Kirshner ("Kirshner") was represented by Alan Kirshner, Esquire, Toledo, Ohio. Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards"), was represented by Norman S. Buckvar, Esquire, St. Loui

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nua Shala, ARI International, Inc., and ORA Business Services, Inc., (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc. and Robert Scott Silva, (Respondents) Case Number: 01-06634 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nua Shala ("Shala"), ARI International, Inc. ("ARI"), and ORA Business Services, Inc. ("ORA"), hereinafter collectively refer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Prickitt and Yvonne Prickitt, Claimants v. John L. Valentine, Valentine Capital Retirement Planning Group, Inc., Retirement Planning Group, Inc., dba Valentine Capital and Securities America, Inc., Respondents Case Number: 01-06631 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member, Non-Members and Associated Person REPRESENTATION OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc., Claimant v. Nathan M. Schulhof, Respondent Case Number: 01-06627 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES For Claimant: Brian G. Mulherin, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P. Los Angeles, California For Respondent: Nathan M. Schulhof Los Gatos, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc., Claimant v. David L. Flynn, Respbndent * . . . Case Number: 01-06625 Hearing Site: Los Angeles, California Member v. Associated Person For Claimant: Jennifer Z. Morris, Esq. Jones, Belt Abbott, Fleming & Fitzgerald L.L.P. Los Angeles, California For Respondent: David L. Flynn In Propria Persona Montecito, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Pasfi Nnmhp.r 01-06623 Dolores Ann Coselli, Name nfthp Respondents Hearing Site* Houston, Texas Primex Prime Electronic Execution, Inc., Gary Edwin Grant, and Ronald Formella, PF.PPF.SF.NTA TffM OF PAHTTOS Claimant, Dolores Ann Coselli, hereinafter referred to as "Claimant" was represented Mark C. Waller, Esq. and Arnold G. Polanco, Esq. of Ross, Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Nancy Penoyer-BIau, Claimant v. Roth Capital Partners, Inc. f.k.a, Cruttenden Roth, and Byron C. Roth, Respondents r: 01-06622 Hearing Site: Los Angeles, California RKPUttSFNTATTON OF PARTIF.S For Claimant: For Respondents: Philip MAidikoflF Esq. Orousha Brocious, Esq. Aidikoff&Uhl Beverly Hills, California Terry Ross, Esq. Janet Simmons Stemler, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adam J. Reback and Richard P. Barnett, (Claimants) v. Ladenburg Thalmann & Co. (Respondent) Case Number: 01-06619 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Adam J. Reback ("Reback") and Richard P. Barnett ("Barnett"), hereinafter collectively referred to as "Claimants": appeared Richard Barnett, on behalf of himself and Adam Reback. Respondent, La