AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ken Lyons and 01-06188 Minneapolis, Minnesota Name of Respondents Morgan Stanley Dean Witter, Inc., and Mark Kaplan REPRESENTATION OF PARTIES Ken Lyons ("Claimant") was represented by Kip M. Kaler, Esq., Fargo, North Dakota. Morgan Stanley Dean Witter, Inc.("MSDW") and Mark Kaplan ("Kaplan") were represented by Miriam P. Longchamp, Esq., Morgan St

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Peter Schiff and Peter Schiff IRA and 01-06186 Nashville, Tennessee Name of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated John D. Story Patrick N. Pointer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Peter Schiff and Peter Schiff IRA ("Claimant") was represented by

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Joseph F. Diaco, Claimant v. M.H. Meyerson & Co., Inc., Fahnestock & Co., Inc., Hal Stuart Goldenberg, George Martin Knowles, in and Lawrence John Doherty, Respondents Case Number: 00-01631 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Joseph F. Diaco, "Claimant": Kendrick J. Blackwell, Esq., Adams, Blackwell & Diaco, P.A., Tampa, Florida. On or about October 6, 2

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ~NTame of the f.lflimant Roslyn Katz Rothfeld r- 01-06182 Name nf the Respondents PNC Financial Services Group, Inc. J.J.B. Milliard, W.L. Lyons, Inc. PNC Brokerage Corporation William T. Saunders Mary M. Me Williams Frank Schickling Darlene M. Fasic Kathleen A. Crow Hearing Site- Philadelphia, PA Nature of the Dispute: Customer vs. Members, Non-Membe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 01-06180 Albert B. Lorenzoni, claimant vs. John W. Coker, respondent. ATTORNEYS: Claimant appeared pro se, Charlottesville, VA. For Respondent appeared Michael S. Whitlow, Esq., of the firm Gentry Locke Rakes & Moore, Roanoke, VA. DATE FILED: November 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to timely execute claimant's IRA request transfer forms. Claimant ma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06176 Barbara Readwin, claimants vs. Morgan Stanley Dean Witter, Inc., Mark Tourek, Ted Vogt, and Maria Sikaffy, respondents. ATTORNEYS: Claimant appeared pro se, Grand Rapids, MI. For Respondents appeared in-house counsel, Keith Guilfoyle, Esq., New York, NY. DATE FILED: November 16, 2001 CASE SUMMARY: Claimant alleged that respondents liquidated 0-Coupon Bonds contrary to her

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06175 Patrick Laughlin, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Cascade, ID. For Respondent appeared Colleen Wink, Compliance Analyst, West Sacramento, CA. DATE FILED: November 16, 2001 CASE SUMMARY: Claimant alleged that his account suffered a loss because of respondent's failure to inform him of an upcoming conversion of Ericsson co

r . f Award NASD Dispute Resolution In the Matter of the Arbitration Between: ' 01-06174 Eugene and Kathleen Barbieri ring Site- Philadelphia, PA Merrill Lynch Pierce Fenner & Smith Inc Robert Jay McKiernan PAPTTF.S Claimants, Eugene and Kathleen Barbieri, hereinafter collectively referred to as "Claimants": DanaN. Pescosolido, Esq. and Gretchen L. Klebasko, Esq., Saul Ewing, Baltimore, MD. Respondents, Merrill Lynch Pierce, Fenner & Smi

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant Arthur M.Ribe, IRA Names of Respondents Raymond James Financial Services, Inc. and Bernard Michaud Case Number: 01-06170 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Arthur M. Ribe, IRA, hereinafter referred to as "Claimant": R. Stephen Griffis, Esq., Law Office of R. Stephen Griffis, P.C., Birmingham, Alabama until his withdrawal of counsel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Herman Bluestein, Claimant vs. Goldman, Sachs & Co., Bradley S. Defoor, James E. Milligan, Daniel W. Stanton, Charles J. Michaels, and J. Lynn Rose, Respondents Case Number: 01-06168 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Philip M. Aidikoff Robert A. Uhl Ryan K.