NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07593 David Henderson, Claimant vs. Richmond Hillcrest & Company, Respondent. ATTORNEYS: Claimant, David Henderson, ("Claimant"), appeared pro se, Los Angeles, CA. For Respondent, Richmond Hillcrest & Company, ("Respondent"), appeared Howard J. Kern, Esq., of the Law Offices of Greenberg Traurig, LLP, Santa Monica, CA. DATE FILED: December 17, 2002 CASE SUMMARY: Claimant alleged that Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07591 Manisha F. Desai and Falgoon V. Desai, Claimants vs. Morgan Stanley Online n/k/a Morgan Stanley DW Inc., Respondent. ATTORNEYS: Claimants, Manisha F. Desai and Falgoon V. Desai, (collectively "Claimants") appeared pro se., Foster City, CA. For Respondent, Morgan Stanley Online n/k/a Morgan Stanley DW Inc., ("Respondent") appeared in-house counsel, Keith Guilfoyle, Esq., New York, N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07588 First Republic Group, LLC, Claimant vs. Emile Debs, Respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo of the firm Street Wide Asset Recovery Group, LLC, Jersey City, NJ. For Respondent appeared Dan Brecher, Esq. of the Law Offices of Dan Brecher, New York, NY. DATE FILED: December 17, 2002 CASE SUMMARY: Claimant alleged that Respondent failed to repay his principal ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel I. Peck (Claimant) v. Morgan Stanley Dean Witter, Inc. and Adrienne Rowles (Respondents) Case Number: 02-07587 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel I. Peck ("Peck") hereinafter referred to as "Claimant" appeared pro se. Respondents Morgan Stanley Dean Witter, Inc. ("M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07580 L.H. Martin Jr. and Eileen Martin, Claimants vs. Caprock Securitiesjnc. and Daryl Allison, Respondents. ATTORNEYS: Claimants, L. H. Martin Jr. and Eileen Martin, ("Claimants") appeared pro se, Lubbock, TX. Respondents, Caprock Securities and Daryl Allison, (collectively "Respondents") appeared through Daryl Allison, Lubbock, TX. DATE FILED: December 16, 2002 CASE SUMMARY: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: T 02-07577 Caroline Casteel ftRespondents Hparinggijg- Dallas,Texas Josephthal & Co., Inc. James M. Drew ° T Public Customer v. Member Firm and Associated Person OF Claimant Caroline Casteel, hereinafter referred to as "Claimant": Robert Ruotolo, Esq. of the firm of Gerard Singer & Levick, P.C., located in Addison, Texas. Respondents Josephthal & Co., Inc. ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the dai- Case Number- 02-07575 Dubicki Living Trust, Margaret Dubicki, and Edward P. Dubicki Name nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, and Inc. and Kent V. Pearce aring Site: Baltimore, Maryland Nature of the Dispute: Customers vs. Member and Associated Person. OF PAKTTP,S Claimants Dubicki Living Trust ("Trust"), Margaret Dubicki

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jim Hervosma, Claimant v. Morgan Stanley DW Inc., Isidro Z. Miramontes, Randal J. Brown, Alfred J. Perrine, and Daniel J. McMillan, Respondents Case Number: 02-07571 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William C, Saacke, Esq. Law Offices of McNulty & Saacke Torrance, Ca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04265 Charles Schwab & Co., Inc., Claimant vs. Phil Nguyen, Respondent. ATTORNEYS: For claimant appeared Stephen S. Berkeley, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: September 27, 2000 CASE SUMMARY: Claimant alleged that respondent directed them to purchase various stocks, Claimant further alleged th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank Meuschke, (Claimant) vs. First Madison Securities, Inc. and Ray Vahab, (Respondents) Case Number: 00-00435 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Frank Meuschke, hereinafter referred to as "Claimant": Arthur C. Schupbach, Esq., Schupbach, Williams & Pavone LLP, Garden City, NY. Respondents, First Madison Securities, Inc. ("Madison") and Ray