Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert S. Grajewki Sigmund Investments, LLC Sigmund Investments, LLC, No. 1 Sigmund Investments, LLC, No. 2 Sigmund Investments, LLC, No. 3 Names of the "Respondents Bear Stearns & Co., Inc. Bear Steams Securities Corp. The Bear Stearns Companies, Inc. i- 03-02492 Hearing Site* Charlotte, North Carolina Nature of the Dispute: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 03-02491 Robert Bruce Hoy, Jr. Name of the Respondents Hearing Site: Philadelphia, PA Wachovia Securities, Inc. (formally known as First Union Securities, Inc. and Wheat First Union, Inc.) Nature of the Dispute: Customer vs. Member RFPRFSFNTATTON OF PARTIES Claimant, Robert Bruce Hoy, Jr., hereinafter referred to as "Claimant", was repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between ' Name of Claimant/ Counterclaim Respondent Robert W. Baird & Co., Incorporated and 03-02483 Milwaukee, Wisconsin Name of Respondent/ Counterclaim Claimant Stephen C. Carver Nature of the Dispute: Customer vs. Member Counterclaim: Member vs. Customer REPRESENTATION OF PARTIES Robert W. Baird & Co., Incorporated ("Baird") or ("Claimant/ Counterclaim Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Richard F. Oorlog, Individually, and on behalf of The Richard F. Oorlog Trust v. 03-02482 Minneapolis, Minnesota Respondents Prudential Securities, Inc., n/k/a Prudential Equity Group, Inc., Prudential Investment Corporation and William M. Turner, n Nature of Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Ric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-02473 UBS PaineWebber, Inc. Name of the Respondent Hearing Site: Tampa, Florida Gregory A. Jurkiewicz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP, Northvale, New Jersey. Gregory

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Gregg and Randi Garnick Names nf the Bear Stearns & Co., Inc. Clinton Nossel Case Number- 03-02463 Hearing Site- Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Gregg and Randi Garnick, hereinafter collectively referred to as "Claimants", were represented by T

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Colombo, (Claimant) vs. Datek Online Brokerage Services, LLC and iClearing Corp., (Respondents) Case Number: 00-04497 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Colombo, hereinafter referred to as "Claimant", appeared/?r# se. Respondents, Datek Online Brokerage Services, LLC ("Datek") and iClearing Corp. ("iClearing"), hereinafter co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02462 Joseph Richards, HI Joseph Richards, m, IRA Names of the Respondents Hearing Site* Washington, D.C. Morgan Stanley DW, Inc. Walter Andrew Romans, Jr. Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTTFS Claimants, Joseph Richards, ffl and Joseph Richards, IE, IRA, hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02457 Nancy Freundt Alberti Lucciola Alberti de Freundt Estate of Oscar Freundt Rosell Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nancy Freundt Alberti ("NFA"), Lucciola Alberti de Freundt ("LAF"), and

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02455 Oppenheimer & Company, Claimant v. B. Wade Ashton, Respondent. ATTORNEYS: Claimant, Oppenheimer & Company, ("Claimant"), appeared through its in-house Counsel, Eric J. Shames, Esq., New York, NY. Respondent, B. Wade Ashton, ("Respondent") did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 3, 2003 CASE SUMMARY: Claimant al