Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00379 Myra Y. Jammer Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jennifer T. Costello Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Myra Y. Jammer, hereinafter referred to as "Claimant": Stephen D. Spivey, Esq., O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00377 GIF International Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For CIF International, hereinafter referred to as "Claimant": Wayne Schwartz, Esq. and Darren Blum, Esq., Blum, Silver & Schwartz, LLP., Plantation, Flori

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between EDWARD J. WEPPRECHT v. MORGAN STANLEY DEAN WITTER, INC., JAMIE L. BARALDI and JESSE G. VITAGLIANO Case Number 02-00370 Hearing Site:New York, New York Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, E dward J, W epprecht ("Wepprecht" or t he " Claimant"), b y and t hrough h is undersigned counsel, Nicholas J

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between -Oaimaat __________ __ ____ _ __________ _ __________ Bari Lynn Rosen v. 02-00367 Denver, Colorado Respondents Market Wise Securities, LLC, Terra Nova Trading, LLC, David S. Nassar, Thomas A. McCafferty, Kevin C. Ward, and MWSI Holdings, Inc. Nature of Dispute: Customer v. Members, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Bari Lynn Rosen ("Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-02416 Wall Street Access, claimant vs. John McClarin, respondent. ATTORNEYS: For Claimant appeared Joseph Mendola, Vice President of Compliance of Wall Street Access, New York, NY. Respondent failed to submit a response to the Statement of Claim. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance on his customer ac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael F. Zinn as Co-Trustee and Beneficiary of the Zinn Family Charitable Trust, (Claimant) vs. Citigroup Global Markets, Inc. f?k/a Salomon Smith Barney, Inc., Bruce Tuchman and Evan Meltzer, (Respondents) Case Number: 02-00366 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael F. Zinn, Co-Trustee and Beneficiary of the Zinn Family Charitable Trust,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-00363 Ryan Michael Goan, claimant vs. Fidelity Brokerage Services LLC, respondent. ATTORNEYS: Claimant appeared pro se, Standish, ME. For Respondent appeared in-house counsel, Colleen A. Hankins, Esq., Boston, MA. DATE FILED: January 22, 2002 CASE SUMMARY: Claimant alleged that respondent made errors in transferring his Fidelity IRA Account. Claimant contended taxes were withheld and inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Rounds, Claimant v. Fidelity Asset Management, Inc. and Tuyen Linh Nguyen, Respondents Case Number: 02-00360 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. The Law Office of David Liebrader, Inc. Las Vegas, Nevada For Respondent: Kenneth L Catanz

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Randall Stoke, individually and as Trustee for H. Randall Stoke Family Trust and GP for Ramar Investment Co. and Marilyn C. Stoke, individually and as Trustee for H. Randall Stoke Family Trust and GP for Ramar Investment Co., Claimants v. CIBC World Markets Corp., Geoffrey S. Paul, Howard M. Singer, and Panayotis D. Sparaggis, Respondents Case Number: 02-00357 Hearing Site: San D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diane McNabb, Mark McNabb, and Mark McNabb Custodian of Chelsea McNabb, Claimants v. Thomas Thomas, Highland Asset Management and Charles Schwab & Co., Inc., Respondents Case Number: 02-00356 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents Thomas Thomas and