AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Wei-Tek Tsai and Enyan Deng and 01-07112 Phoenix, Arizona Name of Respondent Morgan Stanley DW Inc. REPRESENTATION OF PARTIES Wei-Tek Tsai and Enyan Deng ("Claimants") appeared pro se. Morgan Stanley DW Inc. ("Respondent") was represented by Marshall Wallace, Esq., Crosby, Heafey, Roach & May, Oakland, California. CASE INFORMATION The Stateme

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-07111 Terry Young, claimant vs. American Partnership Board, respondent/third-parly claimant vs. Gary Hampton, third-party respondent. ATTORNEYS: Claimant appeared pro se, Livingston, TX. For Respondent/Third-Party Claimant, American Partnership Board, appeared Carla Minckley, Esq., of the firm Birge & Minckley, P.C., Denver, CO. Third-Party Respondent, Gary Hampton, appeared pro-se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pedro N. Ibanez, Claimant v. Ameritrade, Inc., Respondent Case Number: 01-07110 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Pedro N. Ibanez In Pro Per Temecula, California For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed: December 22, 2001 Claimant's Uniform S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Princeton International Industries Corp, (Claimant) v. Peter Gallagher and First Union Securities, (Respondents) v. Amy H. Lee, (Third Party Respondent) Case Number: 01-07109 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Princeton International Industries Corp. ("Princeton"), hereinafter referred to as ''Claimant": Eugene Hum, CPA, Holzer, Hum & Ja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Hakala (Claimant) v. J. P. Morgan Securities, Inc. (Respondent) Case Number: 01-07105 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Jonathan Hakala ("Hakala") hereinafter referred to as "Claimant" appeared pro se. Respondent J.P. Morgan Securities, Inc. ("JPMSI") hereinafter referred to as "Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-07104 Uwe Balzat, Claimant vs. Rocco Anthony Mongelli and Avalon Partners, Inc., Respondents. ATTORNEYS: Claimant appeared pro se, Auckland, New Zealand. For Respondent Rocco Anthony Mongelli appeared Robert Bertsch, Esq. of the firm Bertsch & Associates, P.C., Port Washington, NY. For Respondent Avalon Partners, Inc., appeared Sameer Rastogi, Esq. of the firm Sichenzia Ross Friedman Fer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bashar Sabbagh, (Claimant) vs. Charles Schwab & Company, Inc., (Respondent) Case Number: 00-02386 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bashar Sabbagh, hereinafter referred to as "Claimant": Joseph S. DiMaria, Esq., DiMaria & DiMaria, Paramus, NJ. Respondent, Charles Schwab & Company, Inc., hereinafter referred to as "Respondent": Amir Tadjed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur R. Parrott and Blanche M. Parrott, (Claimants) v. Advest, Inc. and S. Eric Asendorf, (Respondents) Case Number: 01-07099 Hearing Site: Boston, MA REPRESENTATION OF PARTIES Claimants, Arthur R. Parrott, ("Mr. Parrott") and Blanche M. Parrott ("Mrs. Parrott"), hereinafter collectively referred to as "Claimants": Thomas H, Tucker, Esq., a sole practioner, Duxbury, MA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: t Muml-wr- 01-07098 Ronald E. Sanasac Merrill Lynch Pierce Fenner & Smith Inc. John R. jEJudspeth Hiring Sitfr* Philadelphia, PA ™ Claimant, Ronald E. Sanasac ("Sanasac"), hereinafter referred to as "Claimant", was represented by John R. Crayton, Esq., Crayton & Belknap, Bensalem, Pennsylvania. Respondents, Merrill Lynch Pierce Fenner & Smith Inc. ("Merrill Lynch") a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 01-07096 Charles M. Baxter Names of the Respondents Hearing Site: Tampa, Florida Donaldson, Lufkin & Jenrette Securities Corporation Robert Guerin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles M. Baxter, hereinafter referred to as "Claimant": Allan J. Fedor, Esq., Fedor & Fedor, Largo