\ CASE: 04-08762 David Lerner Associates/Inc. (Claimant) v; John Dugdale (Respondent) ATTORNEYS: For Claimant David Lerner Associates, Inc. ("Claimant") appeared Thomas J. Ruhletz, Esq., previously Joseph C. Pickard, Esq., in-house counsel, David Lerner Associates, Inc., Syosset, NY. Respondent John Dugdale ("Respondent") appeared pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person, DATE FILED: December 14, 2004. CASE SUMMARY: Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08761 David terner Associates, Inc., (Claimant) vs. David Price, m, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Joseph C. Pickard* Esq., Syosseu NY. Respondent appeared pro se, Ridgefield, CT. NATURE OF "DISPUTE:" Member v. Associated Person" 1 DATE FILED: December 28, 2004 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay m

fc NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08760 David Lerner Associates, Inc., (Claimant) vs. Jose Mogollon, Jr., (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Thomas J. Ruhle, Jr., Syosset, NY. Respondent appeared pro se, Norwalk, CT. NATURE OF DISPUTE: Member v. Associated Person ~~~~~~~~~~ DATE FILED: December 14, 2004 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Account

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08759 David Lerner Associates, Inc. (Claimant) v. David Samalin (Respondent) ATTORNEYS: For Claimant David Lemer Associates, Inc. ("Claimant") appeared Thomas J. Rhule, previously Joseph C. Pickard, Esq., in-house counsel, David Lerner Associates, Inc., Syosset, NY. Respondent David Samalin ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTErMember v. Associ

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08729 Alan D. Brewer and Barbara T. Brewer, (Claimants) vs. Michael M. Duprez (Respondent) ATTORNEYS: Claimants appeared pro se, Franklin, TN. Respondent appeared pro se, Franklin, TN. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: December 22, 2004 CASE SUMMARY: Claimants alleged misrepresentations and failure to disclose material facts regarding the switching of inv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gene Goddard (Claimant) v. Legg Mason Wood Walker, Inc. (Respondent) Case Number: 04-08728 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Gene Goddard hereinafter referred to as "Claimant": James A. DeRoche, Esq., Garson & Associates Co., L.P.A., Cleveland, OH. Respondent Legg Mason Wood Walker, Inc. hereinafte

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Andrew Merino and Marielena Merino, Claimants v. Round Hill Securities, Inc., Robert Jay Holub, Gerald Hart Burchard, Jr., Robert S. Minka, Thomas Joseph Sboto, and Bear, Stearns Securities Corp., Respondents v. Martin Greenwood, Third-Party Respondent Case Number: 01-00414 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Theo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08720 Steven F. Santee, (Claimant) vs. Frank Anthony Passarella and Paul Richard Pasarella, (Respondents) ATTORNEYS: Claimant appeared pro se, Charlotte, NC. Respondent Frank Anthony Passarella did not submit an Answer to the Statement of Claim. For Respondent Paul Richard Passarella appeared Harry J. Delagrarnmatikas, Esq., New York, NY. Respondents Frank Anthony Passarella and Paul

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Mariscal IRA, Claimant v. Prudential Equity Group, LLC and David H. Rascoe, Respondents Case Number: 04-08713 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondents: Charles B. LaChaussee, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James G. Xilas XLS Argus Venture Group, LLC Names of the Respondents ' Merrill Lynch, Pierce, Fenner & Smith Incorporated William Wong Oppenheimer & Co., Inc. Dennis P. McNamara Allen R. Holeman Emil J. Jutrowski James F. Lowe Michele A. Grassi Case Number: 04-08692 Hearing Site: Boca Raton, Florida Nature of the Dispute: Cu