Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melrose Opticians Inc., Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kathleen R. Gamez, Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kathleen R. Gamez, Third-Party Claimants v. The Optical Store of Aspen, Inc. and Larry Sands, Third-Party Respondents Case Number: 03-03183 Hearing Site: Los Angeles, California Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03176 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Chicago, Illinois Jose Gonzalez Type of Controversy: Member Firm v. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc. ("Raymond James") was represented by Leslie A. Reese, Esq. in-house counsel for Raymond James localed in St. P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Dwyer, Claimant, Case Number:- 03-03175 v. Birkelbach Investment Securities, Inc., Hearing Site: Chicago, Illinois Peregrine Financials & Securities, Inc. William J, Murphy, Thomas E. Pearson, James F. Kelly and Michael J, Rukujzo, Respondents. Thomas E. Pearson and James F. Kelly, Respondents/Cross-Claimants, v. Patrick S. Jage, Cros

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01269 Thomas A. Scaramuzzo, claimant vs. M.H. Meyerson & Company Inc., and Lawrence Doherty, respondents. ATTORNEYS: Claimant appeared Pro Se, Howell, NJ. For Respondents appeared Phillip T. Frank, Esq., in-house counsel, Jersey City, NJ. DATE FILED: March 14, 2001 CASE SUMMARY: Claimant alleged that respondents made unauthorized trades in his customer account. Claim Data Aw

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03166 Robert White, Individually and on behalf of his IRAs Cannelina Lampos, Individually and on behalf of her IRAs Raven Enterprises, Ltd. Names of the Respondents Hearing Site: Boca Raton, Florida J.P. Morgan Securities, Inc. Robertson Stephens, Inc. Kiernan Francis McDonough David Allen Poulin Robert F. Mason L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03165 Pola Newhouse, Individually, and as Trustee of the Pola Newhouse Rev. Trust Name of the Respondent Hearing Site: Boca Raton, Florida CIBC World Markets Corp. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Pola Newhouse, Individually, and as Trustee of the Pola Newhouse Rev. Trust, hereinafter referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip Celniker (Claimant) v. Linsco/Private Ledger Corp., ALPS, Inc., and Thomas Cechini (Respondents) Case Number: 03-03154 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Philip Celniker ("Celniker") hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luther D. Hutson and Estate of Mona L. Hutson, Claimants v. Morgan Stanley Dean Witter Inc., Respondent Case Number: 03-03149 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: Val D. Hornstein., Esq. Hornstein Law Offices San Francisco, California For Respondent: Katherine J. Hart, Esq. Reed S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sylvia Schuyler, The Schuyler Family Trust and The B & C Intervivos Trust, Claimants v. Prudential Securities, Inc., Respondent Case Number: 03-03147 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Orousha Brocious, Esq. Aidikoff &Uhl Beverly Hills, California For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geoffrey S. Paul, Claimant v. Citigroup Global Markets, Inc. 17k/a Salomon Smith Barney, Inc. and Clifford R. Wilmot III, Respondents Clifford R. Wilmot III, Counter-Claimant v. Geoffrey S. Paul, Counter-Respondent Clifford R. Wilmot HI, Third-Party Claimant v. Prescott M. Dunbar, Third-Party Respondent Case Number: 03-03145 Hearing Site: Los Angeles, California Nature of the Disput