Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Inge and George Anstadt (Claimants) v. Prudential Equity Group, Inc. f7k/a Prudential Securities, Inc., John Story & Patrick Pointer (Respondents) Case Number: 02-05980 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Inge Anstadt ("I. Anstadt") and George Anstadt ("G. Anstadt") hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Jerome (Claimant) v. Ronald Bucher, Stanford Group Company and Josephthal & Co. n/k/a Fahnestock & Co. (Respondents) Case Number: 02-05978 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant James Jerome ("Jerome") hereinafter referred to as "Claimant": Bruce E. Baidinger, Esq., Baldinger & Le

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elma Baia (Claimant) vs. HSBC Brokerage (USA), Inc., (Respondent) Case Number: 02-05976 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Elma Baia, hereinafter referred to as "Claimant": Peter S. Pearlman, Esq., Conn Lifland Pearlman Herrmann & Knopf, Saddle Brook, NJ. Respondent, HSBC Brokerage (USA) Inc., hereinafter referred to as "Respondents": Paul K. St

Stipulated Award NASD Dispute Resolution In the Matter of th Arbitration Between: Name of the Claim* nt Mary M. Jordan Names of the Resix ndents Case Number: 02-05974 Hearing Site: Boca Raton, FL Morgan Stanley D\y Inc. Brian Cavell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary M. lord Esq., Dickenson .n ("Jordan") hereinafter referred to as "Claimant": Russell C, Silverg

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Richard E. Miller Case No. 00-04066 Emmett A. Larkin Company, Inc. Paul N. Lehnert Hearing Site: Pittsburgh, Pennsylvania OF PAP^ EV< 5 Claimant, Richard E. Miller, hereinafter referred to as "Claimant'*: Stanley P. DeGory, Esq., Bonya Gazza & DeGory, LLP, Indiana PA. Respondent, Emmett A. Larkin Company, Inc. ("Emmett A. Larkin"), hereinafter referre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02:05970 Richard Ducharme Jr., Claimant vs. Morgan Stanley, DW Inc., Lonnie Long, and Calvin Whitaker, Respondents. ATTORNEYS: Claimant, Richard Ducharme Jr. ("Claimant") appeared Pro Se., Jacksonville, Fl. Respondents, Morgan Stanley, DW Inc., Lonnie Long and Calvin Whitaker, (collectively "Respondents") appeared through their in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: I. David Hong and Kim Hong, Claimants v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. and Jeffrey A. Mullen, Respondents Case Number: 02-05967 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimants: Bradley S. Keller, Esq. Byrnes & Keller IIP Seattle, Washington For Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ricardo Rafael Castillo, Claimant v. Prudential Securities Incorporated, Carlos Jimenez, and Brian D. Talgo, Respondents Case Numbcr:Q2-05966 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Matthew R. Miller, Esq. Dreher Law Firm San Diego, California

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05962 Arthur Struck on behalf of IRA FBO Arthur Struck Names of the Respondents Hearing Site: Boca Raton, FL Sands Brothers & Co., Ltd. Stephen Soler Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur Struck on behalf of IRA FBO Arthur Struck ("Struck") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant P. Brooks Warren Name of the Respondent Salomon Smith Barney, Inc. Case Number: 02-05961 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For P. Brooks Warren, hereinafter referred to as "Claimant": David W. Mockbee, Esq., Mockbee Hall & Drake, Jackson, MS and E. Clifton Hodge, Esq., Phelps Dunba