STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants G. Dewitt Boice, Individually and on behalf of the G. Dewitt Boice Trust and Lorraine R. Boice v. 02-07882 Denver, Colorado Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Michael B. Weinberg and Edward L. Winpenny, Jr. Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES G. Dewitt Boice, Individua

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of the Claimants Michael and Hilda Lathrop and Names of the Respondents Prudential Equity Group, LLC, Raymond F. Westcgrove and Harmon S. Dickson, Jr. Names of Claimants Michael and Hilda Lathrop and Names of Respondents Citigroup Global Markets, Inc., Raymond F. Westegrove and Tullis C. Thomas, Case Number: 02-07880 Hearing Locati

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/ Counterclaim Respondent RBC Dain Rauscher, Inc. and 02-07879 Chicago, Illinois Name of Respondents/ Counterclaim Claimants Riccardo Nunziati and R.fl Corporation Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc., ("Claimant/Counterclaim Respondent") or ("Dain Rauscher") was represented by John Laravuso, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04289 Nena Morse, Claimant vs. Prudential Securities, Inc., Respondent. ATTORNEYS: Claimant, Nena Morse, ("Claimant"), appeared Pro Se., Las Vegas NV. Respondents, Prudential Securities, Inc. ("Respondent") appeared through its in-house-counsel, Marci B. Gold, Esq. New York, NY. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent fraudulently collected div

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 02-07876 Harold McNeill Mann* nf the Respondents Tearing Siter Raleigh, NC Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer v. Member. RFPRFSFNTATTON OF PARTTF.S Claimant, Harold McNeill, hereinafter referred to as "Claimant", was represented by L. Bruce McDaniel, Esq., McDaniel & Anderson, LLP, Raleigh, North Carolina. Respondent,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert L. and Ginger Strausbaugh vs. 02-07873 Louisville, Kentucky Names of Respondents H&R Block Financial Advisors, Inc., fk/a Olde Discount Corporation, Greg W. Ruber, Kyle E. Higgason, and Leo A. Gies, HI Nature of the Dispute: Customers vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Robert L. and Ginger Strausbaugh

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nnmi» nf thft Claimant Paofi Niimhgr 02-07865 Estate of H. Charlene Wiedeman by and through Robert Wiedeman, Executor Names of the Respnrujpnfs PMTJTIP Site' Philadelphia, PA Morgan Stanley DW, Inc. JangSyal Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSF.NTAT10N OF PABTTF.S Claimant, Estate of H. Charlene Weideman, by and through Ro

Award NASD Dispute Resolution In the Matter of Karalee K. Wur Richard L. Kerbs he Arbitration Between: ter, FBO Gerald Scott Wurster Trust and Carl F. Wurster, TTEE, Claimants v. and Brookstreet Securities Corporation, Respondents Case Number: (X!-07862 Hearing Site: Salt Lake City, Utah Nature of Disput For Claimants: Customers v. Associated Person and Member Firm REPRESENTATION OF PARTIES Karalee K. Wurster In Pro Se Bo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07860 Orysia and Maria Iwasiw, JNT and Orysia Iwasiw, Roth IRA, Claimants v. Bruce E. Rich, Adam Forman, and Dante Callicchio, Respondents. ATTORNEYS: Claimants, Orysia and Maria Iwasiw, JNT and Orysia Iwasiw, Roth IRA, ("Claimants"), appeared pro se, Garden City, NY. Respondents, (collectively "Respondents"): Respondent, Bruce Rich, ("Rich"), appeared pro se, Boca Raton, FL. Formerly re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07858 Joy D. Allen, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph Vazza, and Brigita Rumpeters, Respondents. ATTORNEYS: For Claimant, Joy D. Allen, ("Claimant"), appeared Howard W. Hirschhorn, Matawan, NJ. For Respondents, Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph Vassa, and Brigita Rumpeters, (collectively "Respondents"), appeared Rebecca A. Frost, Esq. of the fir