Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03647 Rodrigo Ortiz Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Securities, Inc. REPRESENTATION OF PARTIES For Rodrigo Ortiz, referred to herein as "Claimant": Richard A. Stephens, Esq., Law Office of Richard A. Stephens, Boca Raton, Florida. For Prudential Securities, Inc., referred to herein as "Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01334 Ameritrade, Inc., claimant vs. Leesein Dang, respondent. ATTORNEYS: For Claimant appeared James J. Vihstandt, Esq., in-house counsel, Bellevue, NE, Respondent did not submit a response to the Statement of Claim. DATE FILED: March 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his customer account. Claim Data Award Data Clai

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen Hill and Name of Respondent Bane One Securities Corp. Case Number: 03-03645 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Associated Person v. Member Firm REPRESENTATION OF PARTIES Karen Hill ("Claimant") was represented by David S. Mendelson, Esq., Law Offices of David Mendelson, Birmingham, Michigan, and Dean J. Groulx, Esq., Hy

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Kim and Richard Chesbrough and Names of Respondents Merrill Lynch Pierce Fenner & Smith and Kenneth Scott Jones Case Number: 03-03644 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person Kim and Richard Chesbrough ("Claimants") were represented by Lawrence M. Elkus, Esq., Farmingtoh Hills, Michi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Krauter and 03-03643 Phoenix, Arizona Name of Respondents Piper Jaffray & Co. n/k/a U. S. Bancorp Piper Jaffray, Inc. NicoR. Willis Michael L. Cameron Nature of the Dispute: Associated Person vs. Member; Associated Persons. REPRESENTATION OF PARTIES William Krauter ("Claimant") was represented by Richard Parrish, Esq., Parrish & Berry, Tuc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Sara L. Coutscoudis, Trustee of the Sara L. Coutscoudis Trust UAD 06/13/89 and Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and John Schindler Case Number: 03-03642 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Sara L.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Pietrangelo, IRA, Claimant v. Pasquale Scaramuzzini, Jr. and Prudential Securities, Inc., Respondents Case Number: 03-03629 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada For Respondents: Ch

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Pietrangelo, IRA, Claimant v. Pasquale Scaramuzzini, Jr. and Prudential Securities, Inc., Respondents Case Number: 03-03629 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Offices of David Liebrader, APC Las Vegas, Nevada For Respondents: Christophe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Isaac and Shirley Raitport (Claimants) v. Salomon Smith Barney, Inc., and CIBC World Markets Corp., (Respondents) Case Number: 03-03625 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES Claimants Isaac Raitport ("I. Raitport") and Shirley Raitport ("S. Raitport"), hereinafter collectively referred to as "Claimants": Timothy J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thalia Karakitsios IRA (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 03-03624 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Thalia Karakitsios IRA ("Karakitsios") hereinafter referred to as "Claimant": Wm. Jemison Mims, Esq. and B. Kristian W. Rasmussen, Esq., Levin Papantonio,