Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02325 • UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia William A. Grist, Jr. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Michael D. Lee, Esq. and Michael B. Roche, Esq., Schuyler, Roche & Zwirner, Chicago, Illinois. For William A. Grist, Jr., hereinafter referred to as "Respondent"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeanne M. Welsh, (Claimant) vs. Kirlin Securities, Inc. and Brian J. Alton, (Respondents) Case Number: 01-02135 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeanne M. Welsh, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP, New York, NY. Respondents, Kirlin Securities, Inc. ("Kirlin") and Brian J. Alton ("Alton"), he

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard Deming and Audrey A. Deming and Robert A. Deming and Sue Hallead Deming and 01-01043 Southfield, Michigan Raymond James & Associates, Inc. Roney & Co. Walter S. Olsson, and Guy W. Staples REPRESENTATION OF PARTIES Richard Deming, Audrey A. Deming, Robert A. Deming and Sue Hallead Deming ("Claimants") were represented by Alfred J. Gemrich, Esq., Howar

DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00905 Ronald F. Cox and Carolyn S. Cox, claimants vs. Valdes & Moreno, Inc., First Southwest Company, vs. Tradition Asiel Securities, Inc., and Asiel & Company, LLC. ATTORNEYS: Claimants appeared pro se, Columbia, MO. For Respondent/cross-claim respondent, Valdes & Moreno, Inc. appeared, Marco Listrom, Kansas City, MO. For Respondent/cross-claim claimant/third party claim claimant, Firs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Weisz, Joseph Weisz, Yolanda Weisz, and Alexander & Yolanda Weisz Family Trust, Claimants v. Continental Broker-Dealer Corp. and George Joseph Kurtis, Respondents Case Number: 01-00916 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondents: Liam O'Brien,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles H. Rawlings and 01-00361 Southfield, Michigan Morgan Stanley Dean Witter, Inc., and James Cooley REPRESENTATION OF PARTIES Charles H. Rawlings ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Dean Witter Reynolds, Inc. a/k/a Morgan Stanley Dean Witter, Inc. ("MSDW") and James Cooley ("Cooley"), hereinafter referred to a

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Francisco Pedros, (Claimant) vs. Gilford Securities Incorporated, Gabriel Carino, Howard Perkins, and Chris Pomarico, (Respondents) Case Number: 01-00196 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Francisco Pedros, hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., Law Offices of Carole R. Bernstein, Westport, CT. Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juanita H. Home, by and through Power of Attorney, Etta Jeanine Peek, Claimant v. Salomon Smith Barney, Inc. and William C. Home, Respondents Case Number: 00-04329 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Claimant: David A. Kimberley, Esq. Cusimano, Keener, Roberts, Kimberly & Miles, P.C. 153 South Ninth Street Gadsden, AL 35901 For Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sandra George, (Claimant) vs. Tarpon Scurry Investments, Inc. and Michael McFarquhar, (Respondents) Case Number: 01-00194 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Sandra George, hereinafter referred to as "Claimant": Herbert W. Solomon, Esq., Meltzer, Lippe, Goldstein & Schlissel, P.C., Mineola, NY. Respondent, Tarpon Scurry Investments, Inc. ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory Papadopoulos, (Claimant) vs. Black Diamond Trading LLC, Pax Clearing Corporation, and John Doran, (Respondents) Case Number: 00-04275 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gregory Papadopoulos, hereinafter referred to as "Claimant", appeared pro se. Respondent, Black Diamond Trading LLC ("Black Diamond"), did not make an appearance in