Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07833 Konstantine Yankopolus Names of the Respondents " Hearing Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Robert Bonaventura Michael Caska William lommi, Sr. Maria Minguez Michael Salviolo, Jr. Martin Sands Steven Sands Alex Shtaynberger Christopher Silver Nature of the Dispute: Customer vs. Member and A

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Dorothy Bruce IRA, (Claimant) vs. Jeffrey Ulrich, (Respondent) Case Number: 02-07830 SITUS: Cleveland, Ohio NATURE OF DISPUTE: Customer vs. Associated Person. REPRESENTATION OF PARTIES Dorothy Bruce IRA, hereinafter referred to as "Claimant": Richard A. Beebe, Esq., Cleveland, OH. Respondent did not enter an appearance in this matter. DATE FILED: December 26, 2002. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tejinder P. Singh and Iqbal Singh (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Williams (Respondents) Case Number: 02-07828 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Tejinder P. Singh ("T. Singh") and Iqbal Singh ("I. Singh") hereinafter collectively referred to

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James and Joanne Fisher v. 02-07827 Omaha, Nebraska Respondents FFP Securities, Inc. and Randy L. Beltramea d/b/a Beltramea Investment Management Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES James and Joanne Fisher ("Claimants") were represented by Thomas Wolle, Esq., Moyer & Bergman, P.L.C., Cedar Rapids, Io

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Melinda Trocano and Robert Semenak (Claimants) v. Lehman Brothers, Inc. (Respondent) i CaseNumber: 02-07826 • Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Persons vs. Member. J REPRESENTATION OF PARTIES Claimants Melinda Trocano ("Trocano") and Robert Semenak ("Semenak") hereinafter collectively referred to as "Claimants": Bruce B. Elfvin, Esq., Elfvin & B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-07825 Delva A. Lite Names of the Respondents: Hearing Site: Philadelphia, PA Merrill Lynch, Pierce, Fenner & Smith, Inc., Judy G. Camisa and Carlos Sosa Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Delva A. Lite ("Claimant"), was represented by Benjamin Lapin, Esq., Stoc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04287 PaineWebber Incorporated, Claimant vs. Mouna Zubi, Respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island NY. Respondent did not respond to the Statement of Claim. DATE FILED: September 28, 2000 CASE SUMMARY: Claimant alleged that Respondent purchased stocks and the check that was deposited into Claimant's account to cover the cost was returned f

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-7823 Douglas S. Keefer and Sandra H. Keefer, Claimants vs. Prudential Securities, Inc., Respondent. ATTORNEYS: For Claimants, Douglas S. Keefer and Sandra H. Keefer (collectively "Claimants") appeared W. Edgar Spivey, Esq., of the Law Offices of Kaufman and Canoles, Norfolk, VA. Respondent, Prudential Securities, Inc.("Respondent") appeared through its in-house counsel, Noah D. Sorkin, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimanta Case Number 02-07820 Peter Demos, Jr. and Angelica Sponza Name nf the Respondents H paring Siter Charlotte, NC Joseph Gunnar & Co., LLC Cantella & Co., Inc. Nature of the Dispute: Customers v. Members. RKPRFSFNTATTON OF PARTIES Claimants, Peter Demos and Angelica Sponza, hereinafter referred to as "Claimants", were represented by Sarah G. Anderson,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Suzanne Podesta, Claimant, And 02-07818 Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Phoenix, Arizona Randolph Moore and Steven T. Strong, Respondents. Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Suzanne Podesta was represented by Mark D. Lammers of Anson, Lammers & Barkley, P.C., Tucson, Arizo