Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay R. Rice, Claimant v. JW Genesis Clearing Corp., Fiserv Correspondent Services, Inc., Intermountain Financial Services, Inc. and Kent D. Sweat, Respondents Intermountain Financial Services, Inc. and Kent D. Sweat, Counter-Claimants v. Jay R. Rice, Counter-Respondent Intermountain Financial Services, Inc. and Kent D. Sweat, Cross-Claimants v. JW Genesis Clearing Corp., Fiserv Corr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MarceDo Luciano, Individually and on behalf of the Marcello Luciano SEP IRA, Marcello Luciano as Custodian for Levi Luciano, Marcello Luciano as Custodian for James Austin Clark., Nico Ghatoore, and Guilano Fabianni, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Martin Jacobson, Richard D. Cordell, Respondents Case Number: 02-00164 Hearing Site: Los Angeles, Californ

Award NASD In tne Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00160 Ellen Finkelstein Names of the Respondents Hearing Site: Boca Raton, Florida Roan-Meyers Associates, LP Eric Noveshen REPRESENTATION OF PARTIES For Ellen Finkelstein ("Finkelstein"), hereinafter referred to as "Claimant": Melanie S. Cherdack, Esq., Genovese, Lichtman, Joblove & Battista, P.A., Miami, Florida. For Respondent Roan-Meyers Associates,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 02-00158 Charles H. Schulz Louise F. Schulz Names of Respondents Hearing Site: Boca Raton, Florida First Union Securities Financial Network, Inc. Securities America, Inc. REPRESENTATION OF PARTIES For Charles H. Schulz and Louise F. Schulz, hereinafter referred to as "Claimants": Marc S. Dobin, Esq. and Debra A. Jenks, Esq., Dobin & Jenks,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-00154 Prosperous Endeavors Ltd., Partnership and Asset Protection, Inc. Name of the Respondents Hearing Site: Chicago, Illinois First Union Securities, Inc., n/k/a Wachovia Securities, Inc. and Kirk D. Michelotti REPRESENTATION OF PARTIES Claimants Prosperous Endeavors Ltd., Partnership ("Prosperous Endeavors") and Asset Protection I

NASD Dispute Resolution Arbitration No. 02-00152 Award Page 1 of 6 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond Dziama, (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Louis A. Telerico, (Respondents) Case Number: 02-00152 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Raymond Dziama, hereinafter referred to as "Claimant": Roger W. Van Deusen, Esq., Van Deusen & W

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant World Marketing Corporation Profit Sharing Plan V. 02-00151 Denver, Colorado Respondents Market Wise Securities, LLC, f/k/aMWSI Holdings, Inc. Terra Nova Trading, LLC, Davis S. Nassar, Thomas A. McCafferty, Kevin C. Ward and Henry W. Thurston, IV REPRESENTATION OF PARTIES World Marketing Corporation Profit Sharing Plan ("Claimant") was represented by John G.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02408 Wall Street Access, Claimant vs. Michael Konechy, Respondent. ATTORNEYS: Claimant, Wall Street Access, ("Claimant"), appeared through its in-house counsel, Firibar Carrig, New York, NY. Respondent, Michael Konechy, ("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

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00264 William G. Slack, William G. Slack, Jr., Susan S. Manning and Sarah S. Radow, JTWROS claimants vs. Morgan Keegan & Company, Inc., respondent. ATTORNEYS: Claimants, William G. Slack, William G. Slack, Jr., Susan S. Manning and Sarah S. Radow, JTWROS (collectively "Claimants"), appeared Pro Se., Charleston, WV. For Respondent, Morgan Keegan & Company, Inc. ("Respondent") appeared J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Smith, Claimant vs. Philip Smith and AXA Advisors, LLC, Respondents Case Number: 02-00150 Hearing Site: Los Angeles, California Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondents: Philip Smith AXA Advisors, LLC Steven Glaser, Esq. Gelfand Rappaport & Glaser, LLP Los Angeles, California