Award NASD Dispute Resolution In the Matter of the Arbitration Between: Praveen Jha (Claimant) v. ABN AMRO, Inc. (Respondent) Case Number: 02-06090 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Praveen Jha ("Jha") hereinafter referred to as "Claimant": Robert B. Stulberg, Esq., Broach & Stulberg, LLP, New York, NY. Respondent ABN AMRO, Inc. ("ABN") hereinafter referred to as "

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Deane H. Stokes, Sr. Metropolitan Realty Associates, Incorporated Case No. 00-04077 Names of Respondents Marion Bass Securities Corp Chadwick Edward Cochran Mark Fitzgerald Bass Gerald Paul Chandik Robert Harold Reber, Jr. Robert James Brietz, Sr. Marion Frederick Bass, Jr. Thomas Michael Costello Randolph McCraven Nash Ben

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kalander International Co., Ltd. Names of the Respondents EFG Capital International Corp, Ana Maria de Bracamonte Case Number: 02-06089 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Kalander International Co., Ltd., hereinafter referred to as "Claimant": Christopher

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06088 Lance Foody and Constance Foody JTTEN Names of the Respondents Hearing Site: Memphis, TN Morgan Stanley DW, Inc. Mark Larue Alexander Frank Jay Kemper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lance Foody and Constance Foody JTTEN, hereinafter collectively referr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06080 Laurence Pilgeram, claimant/counterclaim respondent vs. Rick Giffin, respondent/counterclaim claimant. ATTORNEYS: Claimant/counterclaim respondent appeared pro se, Goleta, CA. Respondent/counterclaim claimant appeared pro se, Little Rock, AR. DATE FILED: October 11, 2002 CASE SUMMARY: Claimant/counterclaim respondent alleged that respondent/counterclaim claimant failed to discl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Page Niimher: 02-06078 Edward and Elizabeth Leard Names nf rtip Respnndpnts Hearing Site: Pittsburgh, PA PNC Brokerage Corp., J.J.B. Milliard, W.L. Lyons, Inc., Barbara Jene Cole, and Valerie Lyle Nature of the Dispute: Customers vs. Terminated Member, Member and Associated Persons RFPBFSFNTATTON OF PAPTTFS Claimants, Edward and Elizabeth Leard, hereinafter collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John G. Becker (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mary E. Schaaf (Respondents) Case Number: 02-06076 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John G. Becker ("Becker") hereinafter referred to as "Claimant": Jeffrey A. Sellers, Esq., Silverberg, Yood, Sellers, Mc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Ames (Claimant) v. First Montauk Securities Corporation, David Garfinkel, and Herbert Kurinsky (Respondents) Case Number: 02-06070 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dorothy Ames ("Ames") hereinafter referred to as "Claimant": Dan Brecher, Esq,, Law Offices of Dan Brecher,

Amended Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between Beth Greenberg (Claimant) v.Bainco International Investors, LLC, Newbury Street Capital, LP, Samuel Bain, Jr., Robert Katz and Christopher Shepler (Respondents) Case No. 02-06068 Hearing Site: Boston, Massachusetts Customer v. Member, Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant, Beth Greenberg ("Claimant" or "Greenberg") was represented by Rich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-06067 Bemice and Harold Kremins JTWROS Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Thomas J. Coelho and Philip Vallone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernice and Harold Kremins JTWROS, hereinafter collectively referred to as