NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04264 Ferris Baker Watts, Inc., Claimant vs. Ido and Thelma Colantuoni, Respondents. ATTORNEYS: For Claimant appeared Theodore W. Urban, Esq., Ferris, Baker Watts, Inc., Washington, DC. Respondents appeared Pro Se, McLean, VA. DATE FILED: September 27, 2000 CASE SUMMARY: Claimant alleged that Respondents failed to repay a debit balance created in their account from May 2000 when Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07531 Juliana Yau Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc., a Delaware corporation, and Jim King Mui Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Juliana Yau, hereinafter referred to as "Claimant": Steve Goerke, Esq., Law Offices of M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Names of the Respondents Telaro Securities, Inc. Ralph A. Durante A.G. Edwards & Sons, Inc. Brian Quinn Case Number: 02-07529 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald Herr and Carly Peterson f/k/a Carly Herr, hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Murray and Patricia Murray and The Murray Family Trust, UA DTD 08/19/93 Claimant v. Prudential Securities, Inc., Respondent Case Number: 02-07528 Hearing Site: Los Angeles, California Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: Ryan K. Bakhtiari, Esq. Aidikoff&Uhl Beverly Hills, California Christopher

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07526 Legg Mason Wood Walker, Incorporated (Consolidated with 02-07798) Names of the Respondents Hearing Site: Orlando, Florida Anthony Truman John Schaedel In the Matter of the Arbitration Between:- Name of the Claimant Case Number: 02-07798 Legg Mason Wood Walker, Incorporated (Consolidated with 02-07526) Name of the Resp

07/29/2004 12:01 FAX NASD REGULATION Award NASD Dispute Resolution In the Matter of the Aibitration Between: Walter Edgar Sciz, Edward C. Henschd, and IS Intersecurities GMBH (Claimants) v. Beny-Shino Securities, Inc. and R. Matthew Shino (Respondents) Case Number: 02-07524 Hearing Site: New York New Yoik Nature of the Dispute: Associated Person and Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Walter Edgar Sei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Martin R. Reid, Jr. individually and as Trustee for Charitable Remainder Trust and 02-07519 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc, John P. McKenna Nature of the Dispute; Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Martin R. Reid, Jr. individually and as Trustee

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07517 Fred Rosen Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Dwayne Ross Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fred Rosen, hereinafter referred to as "Claimant": John T. Getz, Esq., Law Offices of Feldman, Dickstein & Getz, L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-07515 Stephen W. and Patricia L. Stauffer, Claimants vs. Robin Armstrong and Morgan Stanley, DW, Inc., Respondents. ATTORNEYS: ~ ~ ~ Claimants, Stephen W. and Patricia L. Stauffer, (collectively "Claimants") appeared pro se, Glen Arm, MD. Respondents, Robin Armstrong and Morgan Stanley DW, Inc., (collectively "Respondents") appeared through their in-house counsel Debra Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Patrick H. McDonald Name of thp> Respondent Wells Fargo Investments, LLC Case Niumber:Q2-Q7513 Hearing Site: Indianapolis, Indiana Nature of the Dispute: Associated Person vs. Member Firm REPRESENTATION OF PARTIES Claimant, Patrick H. McDonald, appeared pro se in this proceeding. Respondent, Wells Fargo Investments, LLC ("Wells Fargo"), hereinaft