STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Patrick and Cynthia Green and Names of Respondents Salomon Smith Barney, Inc. David C. Hawkinson, and Mark Barickman Case Number: 01-06358 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Patrick and Cynthia Green ("Claimants") were represented by Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. Salomon Smit

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis Queiroz 95-05427 Name of Respondent Peter Armstrong Name of Counterclaimant Peter Armstrong Name of Counterclaim Respondent Dennis Queiroz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1995, Claimant Dennis Queiroz ("Claimant"), who appeared Pro Se, alleg

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Bauer and 95-05409 Name of Respondent Westfield Financial Corporation REPRESENTATION OF PARTIES David Bauer ("Claimant") appeared pro se. Westfield Financial Corporation ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about November 15, 1995. Submission Agreement of

95-05389 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Larry L. and Judith C. Henshaw Name of Respondents James A. Jacobs Equico Securities, Inc. The Equitable Life Assurance Society REPRESENTATION Claimants Larry L. and Judith C. Henshaw ("Claimants") appeared pro se. Respondent James A. Jacobs ("Jacobs") was represented by Pamela A. Bresnahan, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brendan J. Murray 95-05465 Name of Respondent Richard E. Barsom CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 17, 1995, Claimant Brendan J. Murray ("Claimant"), who appeared Pro Se, alleged that Respondent Richard E. Barsom ("Respondent") while employed as a broker by Dean Wit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06350 Virginia Boltz, claimant vs. Merrill Lynch Pierce, Fenner & Smith, respondent. ATTORNEYS: For Claimant appeared John P. Horvat, Bellerose Manor, NY. For Respondent appeared in-house counsel, Daren A. Luma, Esq., New York, NY. DATE FILED: November 23, 2001 CASE SUMMARY: Claimant alleged that respondent placed 58% of her portfolio in the AT&T Equity Income Fund (ATF) which put

o IN ARBITRATICW UNDER CHAPTER XVIII OF THE RULES OF TEIE CHICAGO BOARD OPTIONS EXCHANGE, INC, IN THE MATTER OF Smith Initiating Party and Fidelity Brokerage Services Responding Party File No, 90-NM-l AWARD The above-captioned parties had full opportunity to present arguments and evidence. Having been fully advised by the parties and after due deliberation, the undersigned arbitrator awards as follows: Fidelity Brokerage Se

7.y IN ARBITRATION UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF Barbara O'Brien Initiating Party and Donald R, Arceri Responding Party Arbitration File No. 90-M-3 RESTATED AWARD The captioned matter was submitted on January 9, 1990. The named parties with their respective counsel appeared at a hearing on Thursday, April 5, 1990 in Chicago, Illinois, and had full opportunity to presen

o IN ARBITRATICN UNDER CHAPTER XVIII OF THE RULES OF THE CHICAGO BOARD OPTIONS EXCHANGE, INC. IN THE MATTER OF ^^ector Initiating Party and Shearson Lehman Hutton Responding Party File No. 89-NM-32 AVC\RD Hie above-captioned parties had full opportunity to present arguments and evidence. Having been ful ly advi sed hy the par tie s and deliberation, the undersigned arbitrator awards as follows: after due No award render

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lynne R. Smith, Edward C Meara, and Corrine Meara, Claimants v. Morgan Stanley Dean Witter, Inc., Kyle P. Delaney, and Steven A. Cook, Respondents Case Number: 01-06343 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Robert Scott Dreher, Esq. Matthew R. Miller, Esq. Dreh