Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between, FREDERICK AND PAULA SMITH, Cage No 01 . 06530 ' Claimants, MORGAN STANLEY DW INC., Hearing Site: New York, New York MATTHEW TAUB AND JASON WEISSMAN, Respondents. REPRESENTATION OF PARTIES Claimants Frederick and Paula Smith, hereinafter referred to as "Claimants": Christopher T. Bavitz, Esq. New York, NY Respondents Morgan Stanley DW Inc., Matthew Taub

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06369 William O'Donnell Names of the Respondents Hearing Site: Tampa, Florida Sands Brothers & Co., Ltd. Todd Cirella Jason Russo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William O'Donnell, hereinafter referred to as "Claimant": Anthony M. Abraham, Esq., New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Albanese (Claimant) vs. Salomon Smith Barney, Inc., Salomon Smith Barney Holdings, Inc., Citigroup Inc. f/k/a Travelers Group, Inc., and Citigroup/Travelers Group Capital Accumulation Plan (Respondents) Case Number: 01-06324 Hearing Site: Buffalo. New York Nature of the Dispute: Associated Person v. Member and Non-members REPRESENTATION OF PARTIES Claimant, Frank Albanese

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel Weiskopf and Joyce Weiskopf, (Claimants) vs. Morgan Stanley Dean Witter and Bradley S. Goldfarb, (Respondents) Case Number: 01-06031 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimants, Samuel Weiskopf ("S. Weiskopf) and Joyce Weiskopf ("J. Weiskopf), hereinafter collectively referred to as "Claimants": Richard L. Herzfeld, Esq., Richard L. Herzfeld, P.C., Ne

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glenn T. Klupsak, individually and on behalf of his IRA, Claimant v. Peter W. Maloney, Keith M. Shepherd, Jack B. Grubman, Salomon Smith Barney, Inc. n.k.a. Citigroup Global Markets, Inc., Olivier Khalil, and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 01-05564 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Allan A. Adrian, Claimant v. Prateek Amar, Margaret Black, and Morgan Stanley DW Inc., Respondents Case Number: 01-03346 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria Cicchino, (Claimant) vs. J. P. Turner & Company, LLC, Lenard Simon, and Rocko Guidicipietro, (Respondents) Case Number: 01-03212 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Maria Cicchino ("Claimant"): Benjamin B. Choi, Esq., Reed Smith, LLP, Newark, NJ. Respondent, J. P. Turner & Company, LLC ("Turner"), and Rocko G. Guidicipietro ("Guidicipie

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen R. Carney, (Claimant) vs. Prudential Securities Incorporated and John Cochran, (Respondents) Case Number: 01-02906 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Karen R. Carney, hereinafter referred to as "Claimant": Matthew Yackshaw, Esq., Day, Ketterer, Raley, Wright & Rybolt, Ltd., Canton, GH. Respondents, Prudential Securities Incorporated ("PS

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02668 Ethan and Beth A. Schaff, JTWROS, claimants vs. Datek Online Brokerage Services Corp., respondent. ATTORNEYS: Claimants Ethan and Beth A. Schaff, JTWROS ("Claimants") appeared Pro Se, Sharon, MA. For Respondent Datek Online Brokerage Services Corp. ("Respondent") appeared G. Thomas Fleming, III, Esq. of the firm Jones, Bell, Abbott, Fleming & Fitzpatrick

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant flase Number: 00-01032 David H. Leslie-Hughes, Esq. Name nf the Respondent Hearing Site* Philadelphia, PA American Express Financial Advisors, Inc. Nature of the Dispute: Associated Person v. Member. TjflPRESFNTATTON OF PARTTFS Claimant, David H. Leslie-Hughes, Esq., was represented by J. Matthew Wolfe, Esq., Office of Alice W. Ballard, P.C., Philadelphi