Award NASD Dispute Resolution In the Matter of the Arbitration Between: Berry Kellner, (Claimant) vs. James M. Carrazza, (Respondent) Case Number: 01-05905 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barry Kellner, hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., a sole practitioner, New York, NY. Respondent, James M. Carrazza, hereinafter referred to as "Respondent": William A. Rome, Esq., Hoffrnan Pollok &

STIPULATED AWARD NASD'Dispute Resolution In the Matter of the Arbitration Between: Claimants Stuart Harton, and Janie Harton and Respondents Merrill Lynch, Pierce, Fenner and Smith, Inc., and David C. Walkup Case Number: 01-5898 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants Stuart W. Harton & Janie M. Harton hereinafter collectively referred to as "Claimants" were represented by Samuel C. Edwards of Shepherd, Smith & Bebel, locate

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary A. Baldwin, (Claimant) vs. First Union Securities and Robert Elser, (Respondents) Case Number: 01-05888 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Mary A. Baldwin, hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq., Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., Albany, NY. Respondents, First Union Securities ("FUS") and Rober

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05887 Investec Ernst & Company, claimant vs. Mario DePinto, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, Street Wide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: November 2, 2001 CASE SUMMARY: Claimant alleged that upon termination of his employment respondent failed to repay money advanced under the t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John R. Crusing, on Behalf of The John R. Crusing IRA and Marie Artal Riley, Trustee for the Riley 1984 Trust, Claimants v. Linsco/Private Ledger Corp. and John C. Aldis, Respondents Case Number: 01-05880 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Dennis R. Villavicencio, Esq. Akins and Villavicencio Carlsbad, California For Respondents: Dav

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-05877 Howard Lawrence Allison Name of Respondent Hearing Site: Tampa, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Howard Lawrence Allison, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-05877 Howard Lawrence Allison Name of Respondent Hearing Site: Tampa, Florida Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Howard Lawrence Allison ("Claimant"): Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent"): Beverly Jo Slaughter, Esq., Keith Olin, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Namenf the Claimant rasp Number: 00-01429 Rosie M. Lemons Name nf the Respondents Hearing Site: Chicago, Illinois Raymond Beliveau and First Allied Securities, Inc. RFPKFSFNTATION OF PARTTFfl Claimant Rosie M. Lemons hereinafter referred to as "Claimant": Stephen J. Thomas, Esq. of The Thomas Group, located in Peoria, Illinois. Respondents Raymond Beliveau, ("Beliv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mahlon R. Erwin IRA, Claimant v. Prudential Securities Incorporated and David H. Rascoe, Respondents Case Number: 01-05874 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: George A. Foster, Esq. Foster Walsh, LLP La Mesa, California For Respondents: Charles LaChaussee, Esq. Prudential Securities Incorporated San Francisco, California

Award NASD Dispute ResolDtion In the Matter of the Arbitration Between: The Jerome and Marcella Yunger Family Limited Partnership, Claimant v. E*Trade Securities. Inc., Respondent Case Number: 01-02393 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Mont £. Tanner, Esq. Law Oflices of Mont £. Tanner, Ltd. Las Vegas. Nevada For Respondent: Ekwan Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California