AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Nan^e of Claimants Cesar Baez Dario Pedrajo Case No. vs. 95-02635 Name of Respondents Bancomer Securities International, Inc. Bancomer S.A. Grupo Financiero Bancomer Casa de Bolsa Bancomer REPRESENTATION For Claimants, Dario Pedrajo ("Pedrajo") and Cesar Baez ("Baez") (collectively "Claimants") Jeffrey L. Liddle, Esq. from the law firm of Liddle & Robinson l

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James W. Law, Individually and as Beneficiary of James W. Law, IRA, Rita C. Law, Trustee for the Rita C. Law Declaration of Trust vs. Names of Respondents UBS Financial Services Inc. f/k/a PaineWebber, Inc., and Daniel Murphy Case Number: 04-08008 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Secured Equity Title and Appraisal Agency Corporation - Stanley J. Cohen, Receiver, Claimant Vs. Case Number: 98-03337 Monroe Parker Securities, Inc., Alan Scott Lipsky, Bryan Jay Herman, Ralph Joseph Angeline, Richard Stephen Levitov, David Michael Levy, John Patrick Clancy, J.B. Oxford & Company, Duke & Company, Inc., David William Reimer, Jon J

Award NASD intne Matter or tne TVroitration Between: Name of the Claimant Case Number: 01-04402 Elizabeth Kohlroser Name of the Respondent Hearing Site: Boca Raton, Florida A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Elizabeth Kohlroser ("Kohlroser"), hereinafter referred to as "Claimant": Robert E. Gordon, Esq., Gordon & Doner, P.A., Palm Beach Gardens, Florida. For A.G. Edwards & Sons, Inc. ("A.G."), hereinafter referred to as "Res

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Connie S. Stock and Case Number: 03-01380 Hearing Site: Detroit, Michigan Respondents McDonald Investments, Inc., Rita Mansour and Craig Thistlethwaite NATURE OF CASE Customer v. Member and Associated Persons Connie S. Stock ("Claimant") was represented by James P. Graven, Esq., Toledo, Ohio. McDonald Investments, Inc. ("McDonald"). Rita Mansou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sterling Financial Investment Group, Inc., Claimant v. Donald O'Shea, Respondent Case Number: 01-04401 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sterling Financial Investment Group, Inc., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, Miami, Florida. Respondent Donald O'Shea appeared pro se. CASE INFORMATION Stateme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason Selikowitz, Claimant v. Meyers, Pollock, Robbins, Inc.; Scott Modlin; Michael Ploshnick; Peter J. Tannenbaum; et al. Respondents Case Number: 98-02538 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents Meyers, Pollock, Robbins, Inc. For Respondent Scott Modlin: For Respondents Michael and Shelli Ploshnick: For Responde

Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between: Judith Dyer, (Claimant) vs. Steven Ross Goldstein, (Respondent) Case Number: 99-04855 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Judith Dyer, hereinafter referred to as "Claimant", appeared pro se. Respondent, Steven Ross Goldstein, hereinafter referred to as "Respondent", appeared pro se. CASE INFORMATION Statement of Claim filed on or about

96-03012 NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Harvey dicker, Ind. & TTEE et al. Nameof^^pondents Soudiwest Securities, Inc. Nationwide Securities Corp. For Claimants Harv^ Glicker ("GIicker"),Ind. and as TTEE Stephen dicker, Daniel dicker (collectively, "Clainumts"), appeared Robert J. Poulson, Esq., a sole practitioner located in New York City, New York. For Respondent Soutiiwest

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04391 Indian Cave Park, claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc and Richard S. Thomas, respondents. ATTORNEYS: For Claimant appeared Suzanne W. Byrd, General Partner, Atlanta, GA. For Respondents appeared in-house counsel, Dimitri Nemirovsky, Esq., New York, NY. DATE FILED: August 17, 2001 CASE SUMMARY: Claimant alleged that respondents failed to transfer money, as r