Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary H. Coleman, (Claimant) v. Michael D. Mathias, Interstate Financial Group, Inc., Gerald S. Berger, Gerald S. Berger, Inc. and National Planning Corp. (Respondents). Case Number: 03-03229 Hearing Site: New York, NY Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mary Coleman ("Claimant") hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01285 J.B. Hanauer & Co., claimant vs. Shawn Johansen, respondent. ATTORNEYS: For Claimant appeared Alexander J. Anglim, Esq., of the firm Lowenstein Sandier PC, Roseland, NJ. For Respondent appeared Paul D. Anders, Esq., of the firm LeClair Ryan PC, Richmond, VA. DATE FILED: March 15, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay his pro-rata share of an arb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell Alan Rossier, Claimant v. Morgan Stanley Dean Witter & Co. and Cheryl Gerard, Respondents Case Number: 03-03228 Hearing Site: San Francisco, California Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David P. Warren, Esq. Law Offices of David P. Warren San Luis Obispo, California For Respondents: Kev

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03225 Angelo DePergola and Maureen DePergola, Claimants vs. Raymond James & Associates, Inc., and Phylis Boksen, Respondents. ATTORNEYS: ~ " " ~ " Claimants appeared pro se, New Port Richey, FL. For Respondents appeared in-house counsel, Rick A. Buchwalter, Esq., St. Petersburg, FL. DATE FILED: May 1, 2003 CASE SUMMARY: Claimant alleged that Respondents were negligent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter A. Tufts, Jr. (Claimant) v. Liberty Funds Distributor, Inc. (Respondent) Case Number: 03-03222 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Peter A. Tufts, Jr. ("Tufts") hereinafter referred to as "Claimant": William A. Jacobson, Esq., Law Offices of William A. Jacobson, Inc., Providence,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine Call and Gary Call (Claimants) v. John Coscia, Dieter Huber, Royal Alliance Associates, Inc., Prime Capital Services, Inc., Coleman & Co. Securities, R.D. White & Co., Inc. and First Montauk Securities Corp. v. Gary Call (Third-Party Respondent) Case Number: 03-03221 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Merrill Lynch, Pierce, Fenner & Smith, Incorporated Name of the Respondent Jeffrey D. Windes Case Number: 03-03212 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Incorporated, hereinafter referred to as "Claimant": Patric

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03211 Ronald D. Eckhoff and Laura E. Eckhoff Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lunch, Pierce, Fenner & Smith, Inc. Kevin B. Adkins Nature of the Dispute: Custojiiervs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald D. Eckhoff and Laura E. Eckhoff, hereinafter collect

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne L. Britz Merrill Lynch, Pierce, Fenner & Smith, Inc. and James W. Lewis r- 03-03209 t p -' Dallas, Texas OF TWF Public Customer v. Member Firm and Associated Person Claimant Wayne L. Britz, hereinafter referred to as "Claimant": Jeffrey I. Nicodemus, Esq. of the firm of Cowles & Thompson, located in Dallas, Texas, Respondents Merrill Lynch, Pierce, Fenn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert F. LiVoIsi and Susan K. LiVoIsi and Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Harold Benkoski Case Number: 03-03208 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Robert F. LiVoIsi and Susan K. LiVoIsi ("Claimants") were represented by M