Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roseann Martucci IRA, (Claimant)! vs. Morgan Stanley Dean Witter and Dominick Giovannione, (Respondents) I Case Number: 01-02062 Hearing Site: New York, New York REPRESENTATION OF PARTIES ^^ === ]~~ ^^= =ii:j. Claimant, Roseann Martucci IRA,jhereinafter referred to as "Claimant": Richard Birmingham, Esq., a sole practitioner, Staten Inland, NY. j Respon

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Randall S. Raisanen and Sheryle M. Raisanen and 00-00789 Phoenix, Arizona Name of Respondents Gruntal & Co., L.L.C. Adam D. Lorraine Stephen W. Mick REPRESENTATION OF PARTIES Randall S. Raisanen and Sheryle M. Raisanen ("Claimants") were represented by Gordon P. Raisanen, Esq., Raisanen & Associates Law Firm, Ltd., Cokato, Minnesota. Gru

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-00088 Mitch Black, claimant vs. Jim Rector and J.P. Turner and Company, respondents. ATTORNEYS: Claimant appeared Pro Se., Malvern, PA. Respondents appeared through William L. Mello, Vice President of J.P. Turner & Company, Atlanta, GA. DATE FILED: January 11, 2000 CASE SUMMARY: Claimant alleged that respondents made an unauthorized purchase of 1,000 shares of Bid.com on May 7,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sallie Shapiro, Claimant v. David Weiss, John Klingenmeier, Roger Chlowitz, Steven Jenkins, and David Oeser, Respondents. Case Number: 96-01885 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jay R. Stein, Esq. Law Offices of Jay R. Stein Los Angeles, California For Respondent Roger Chlowitz: Roger Chlowitz InProPer Northridge, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael H, Weisser 96-01883 Name of Respondent Smith Barney Inc. REPRESENTATION For Claimant Michael H. Weisser ("Weisser"): Curtis Carlson, Esq. of Carlson & Bales, P.A., Miami, Florida. For Respondent Smith Barney, Inc. ("Smith Barney"): Susan E. Harkins, Esq. of Smith Barney, Inc., New York, New York.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hugh T. Tomlinson 96-01876 Name of Respondents Bear Stearns & Company Doran Haynte CASE SUMMARY In a case filed with National Association of Securities Dealers Regulation, Inc. on May 2, 1996, claimant Hugh Tomlinson ("claimant"), who appeared Pro Se, alleged that respondents Bear Sterns & Co., Inc. ("Bear Sterns

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Cynthia Savarese Rosier 96-01863 Name of Respondent Dave Connochie CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on April 30, 1996, claimant Cynthia Savarese Rosier ("Claimant"), who appeared Pro Se alleged that on March 30, 1993 Respondent Dave Co

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Yan Yong and Daranee Prakalapakorn and Ness City Medical PA Defined Benefit Trust vs. 96-01860 Name of Respondents Raymond, James & Associates, Inc. Harold T. Pearce Investment Management & Research, Inc. Estate of David King REPRESENTATION Claimants Yan Yong and Daranee Prakalapakorn and the Ness City Medical PA Defined Benefit Trust ("Claiman

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants James and Agnes Kane vs. 96-01856 Name of Respondents Bernard Herold & Co., Inc. ^ Theodore Madsen REPRESENTATION For Claimants James and Agnes Kane ("Claimants") appeared Simon S. Kogan, Esq., a sole practitioner located in New York, New York. For Respondents Bernard Herold & Co., Inc. ("Bernard") and Theodore Madsen ("Mad

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Paul and Diane Roman 96-01854 Name of Respondents First Institutional Securities, LLC Eric Swain REPRESENTATION For Claimants Paul and Diane Roman ("Claimants") appeared Thomas W. Williams, Esq., a sole practitioner with offices in Mahwah, New Jersey. For Respondents First Institutional Securities, LLC ("First Institutional