AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06618 WILLIAM E. STREEPER Name of Respondent Hearing Site METROPOLITAN LIFE INSURANCE COMPANY Chicago, Illinois REPRESENTATION OF PARTIES Claimant, hereinafter referred to as "Claimant": Gwen V. Carroll Law Offices of Gwen Veronica Carroll, Ltd. 445 West Erie, Suite 205 Chicago, IL (312)202-0800 Respondent, hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Agnes H. Zellin, the Agnes H. Zellin IRA, and the Agnes H. Zellin Trust, (Claimants) vs. Waddell & Reed, Inc., (Respondent) Case Number: 01-06615 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimants, Agnes H. Zellin ("Zellin"), the Agnes H. Zellin IRA ("Zellin IRA"), and the Agnes H. Zellin Trust ("Zellin Trust"), hereinafter collectively referred to as "Claimants": Ri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosella Medollo (Claimant) v. Carlin Equities Corp., Spear, Leeds & Kellogg and Pat Franzese (Respodents) Case Number: 01-06614 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Rosella Medollo ("Medollo") hereinafter referred to as "Claimant": Timothy Feil, Esq., Finkelstein & Feil, LLP, Garden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02417 Wall Street Access, claimant vs. Laszlo Kolchier, respondent. ATTORNEYS: For Claimant, Wall Street Access, ("Claimant"), appeared in-house counsel, Finbar Carrig, New York, NY. Respondent, Laszlo Kolchier ("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 obligation

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (Claimant) v. M. Eugene Speni, Jr. (Respondent) Case Number: 01-06612 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. ("MSDW") hereinafter referred to as "Claimant": J. Michael Riordan, Esq., Dressier, Amery & Ross, P.C., Morristown, NJ. Respondent M. Eugene S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., and Marshall Myers (Claimants) v. First Union Securities, Inc., and Wheat Benefit Services Group (Respondents) Case Number: 01-06609 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants, Morgan Stanley DW Inc. ("Morgan Stanley") and Marshall Myers ("Myers"), hereinafter collectively referred to as "C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06596 Marvin Grossman, claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc and Robert G. Kraus, respondents. ATTORNEYS: For Claimant appeared Gary L. Warm, CTP, East Meadow, NY. For Respondents appeared in-house counsel Daren A. Luma, New York, NY. DATE FILED: December 6, 2001 CASE SUMMARY: Claimant alleged that respondents failed to execute an order to exercise rights and b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Fariborz and Karen Farahmand Names of the Respondents: A.G. Edwards & Sons, Inc. Michael John Ovitt Case Number: 01-06595 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimants, Fariborz and Karen Farahmand, hereinafter referred to as "Claimants": Allan H. Kaminisky, Esq., Offermann, Cassano, Greco, & Slisz, LLP, Buffalo, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06594 Lawrence A. DeMarco, claimant vs. James A. Dallesandro and Robert Knablavch, respondents. ATTORNEYS: Claimant appeared pro se, Mechanicville, NY. Respondent James A. Dallesandro appeared pro se, Clifton Park, NY. Respondent Robert Knablavch appeared pro se, Lathan, NY. DATE FILED: December 6, 2001 CASE SUMMARY: Claimant alleged that respondents advised him to invest his IRA i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ft nf the Claimants (^asp Ni miter- 02-00381 Richard J. Alexander Joanne M. Alexander Name of thft Respondents Hearing Site; Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc. Matthew C.Allen Nature of the Dispute: Customer vs. Member and Associated Person. REPRF.SFNTATTON OF PARTIES Claimants, Richard J. Alexander ("R. Alexander") and Joanne M. Alexander ("J.