Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claim ant ' ' PASR Nnmher 01 -06471 Richard DeAngelis Names nf the Respondents Hearing Site; Philadelphia, PA Morgan Stanley DW Inc. Bruce Scheeler Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SKMTATTON OF PARTTF.S Claimant Richard DeAngelis ("DeAngelis"), hereinafter referred to as "Claimant," was represented by Nichola

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06459 Advantage Trading Group, Inc. Names of the Respondents Hearing Site: Tampa, Florida David Michael Farber Park Financial Group, Inc. REPRESENTATION OF PARTIES For Advantage Trading Group, Inc. hereinafter referred to as "Claimant": William M. Rishoi, Esq., Snyderburn, Rishoi & Swann, Orlando, Florida. For David Michael Farber ("Farber")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants C!ase Number: 01-06457 Joseph J. Erceg Mary V. Erceg Mary V. Erceg as Trustee for AA Heart of Wildwood Motel, Inc. f7b/o Joseph J. Erceg Mary V. Erceg as Trustee for AA Heart of Wildwood Motel, Inc. f/b/o Dorothy Quinn Mary V. Erceg as Trustee for AA Heart of Wildwood Motel, Inc. f/b/o Scott Erceg ^ of the Respondents Hearing Site- Ph

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph M. Jacob and Name of Respondents Merrill Lynch, Merrill Lynch Pierce Fenner & Smith, Inc. and William M. Lelich Case Number: 01-06453 Hearing Site: Troy, Michigan REPRESENTATION OF PARTIES Joseph M. Jacob, hereinafter referred to as "Claimant" or "Jacob," was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Merrill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-06444 Charles and William Piscitello as trustees on behalf the Anne Piscitello Trust Name of the Respondents Hearing Site: Chicago, Illinois Securities America, Inc. and William Utes REPRESENTATION OF PARTIES Claimants Charles and William Piscitello as trustees on behalf of the Ann Piscitello Trust ("Piscitello Trust") were represented b

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02245 Bruce Sandys, Claimant vs. Olde Discount Corporation, Respondent. ATTORNEYS: Claimant, Bruce Sandys, ("Claimant"), appeared Pro Se, North New Hyde Park, NY. Respondent, Olde Discount Corporation, ("Respondent"), appeared through its in-house counsel, Lisa S. Fildes, Detroit, MI. DATE FILED: May 30, 2000 CASE SUMMARY: Claimant alleged that Respondent failure to execute a marke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: < Name of the Claimant Case Number: 01-06440 Kristen Walden Name of the Respondents Hearing Site: Overland Park, Kansas Morgan Stanley DW, Inc. and David C. Wetzel Type of Controversy: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimant Kristen Walden ("Walden") was represented by Robert R. Barton, Esq. with law offices located in Overland Park,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fifths ^IflirhnTi* Pr^ N^irnhf r 01-06437 Donald L. Kirk Sifp- Charlotte., NC Paul J. Higgins Wachovia Securities Inc. Claimant, Donald L. Kirk ("Kirk"), hereinafter referred to as "Claimant": G. Harris Warner, Jr., Esq., Warner & Adkins, Roanoke, VA and Scott Sexton, Esq., Gentry Locke Rakes & Moore, Roanoke, VA. Respondent, Wachovia Securities Inc, f/k/a IJL Wachovia (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Legg Mason Wood Walker, Inc. Name of thfi Respondent Jason Riddick Jones Case Number 01-06436 Hearing .Site: Baltimore, Maryland RFPRFSFNTATTON OF PABTTFS Claimant Legg Mason Wood Walker, Inc., hereinafter referred to as "Claimant", was represented by Jason W. Gaarder, Esq., Legg Mason Wood Walker, Inc., Baltimore, Maryland. Respondent Jason Ridd

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant KayFelder Names of the Respondents Kenneth Brown K.W. Brown Investments 21 st Century Advisors Case Number: 01-06435 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Kay Felder, hereinafter referred to as "Claimant": Carl F. Schoeppl, Esq., Andrew H. Kayton, Esq., and Stuart A. Davidson, Esq., Schoeppl & Burke, P.A., Bo