NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08791 Roger Bye, Claimant v. Charles Schwab & Co., Inc., Respondent. ATTORNEYS: For Claimant, Roger Bye, ("Claimant"), appeared Gary A. Brienze, Esq., of the firm Dimmich Guldin, Dinkelacker & Brienza, P.C., Orefield, PA. For Respondent, Charles Schwab & Co., Inc., ("Respondent"), appeared their in-house counsel Geoffrey Moore, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Memb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martha L. Chapman (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack Burke (Respondents) Case Number: 03-08790 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martha L. Chapman ("Chapman") hereinafter referred to as "Claimant": Robert A. Campbell, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lyrias Kolas (Claimant) v. Morgan Stanley DW> Inc., Thomas Cowperthwait, and Sherri Omdahl (Respondents) Case Number: 03-08788 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lyrias Kolas ("Kolas") hereinafter referred to as "Claimant": Michael Patrick Murray, Esq., Michael Patric

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-08786 J.C. Figueiredo a.k.a. J.C. Figureinedo, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. ATTORNEYS: For Claimant, J.C. Figueiredo a.k.a. J.C. Figureinedo, ("Claimant"), appeared Wm. Jemison Mims, Jr., Esq., of the firm Levin, Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola, FL. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kaliope Diakakis (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-08777 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES Claimant Kaliope Diakakis hereinafter referred to as "Claimant": Paul E. Kerson, Esq. and Robin Simon, Esq., Koppell, Leavitt, Kerson, Leffler & Duane, LLP, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bery Hersko (Claimant) v. Delta Equity Services Corp., Samuel Brettler, and U.S. Clearing Corp. (Respondents) Case Number: 03-08776 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Bery Hersko ("Hersko") hereinafter referred to as "Claimant": Stuart Schlem and Benjamin Lapin, Stock Market Recove

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Theresia S. Blair (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc., John Ryan, David Nelson, and Ronald Sallet (Respondents) Case Number: 03-08775 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Theresia S. Blair ("Blair") hereinafter referred to as "Claimant" appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Terence J. Cullen (Claimant) v. CIBC World Markets Corp. f/k/a CIBC Oppenheimer and Theodore Papadopoulos (Respondents) Case Number: 03-08773 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Terence J. Cullen ("Cullen") hereinafter referred to as "Claimant: Anthony J. Horn, Esq., New York, NY.

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Paul F. and Gina G. Hyland Case No. 00-01698 Names of Respondents Raymond James & Associates, Inc. Mark William Thompson REPRESENTATION OF PARTIES For Paul F. and Gina G. Hyland ("Hyland") hereinafter collectively referred to as "Claimants": Russell L. Forkey, Esq., Fort Lauderdale, Florida. For Raymond James & Associates, Inc. ("Raymond James") and Mar

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 00-00207 David Ceron, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant David Ceron ("Claimant"), appeared Pro Se., Studio City, CA. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Senior Compliance Analyst for E*Trade Securities, Palo Alto, CA. DATE FILED: January 19, 20000 ^ _ ^ . .. _ , , . _. market order to purcha