Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kinel Ltd., and Nikolai Lougovskoi (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch Bank and Trust Co., Merrill Lynch International Inc., Merrill Lynch International Bank Limited, and Merrill Lynch Bank (Suisse) S.A. (Respondents) Case Number: 02-05868 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Alexander T. Man, Jr. Cynthia A. Nelson Marr Case Number 02-05867 Name of the Respond en ts Morgan Stanley DW Inc. Salvatore L. Monastero Hearing Site: Philadelphia, PA REPRESENTATTON OF PARTTFS Claimants, Alexander T. Marr, Jr. and Cynthia A. Nelson Marr, hereinafter collectively referred to as "Claimants", were represented by John R. Crayt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Capozzi (Claimant) v. HSBC Brokerage (USA) Inc. as Successor in Trust for Republic Financial Services (Respondent) Case Number: 02-05866 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Capozzi, hereinafter referred to as "Claimant": John Weber, Esq., Brooklyn, NY. Respondent, HSBC Brokerage (USA) Inc. as Successor in Trust for Republic Financial

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Securities, Inc. (Claimant) v. William D. Dilley (Respondent) Case Number: 02-05865 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc., hereinafter referred to as "Claimant": Steven P. Gomberg, Esq., Rooks Pitts, Chicago, IL. Respondent William D. Dilley, hereinafter referred

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Orlandi (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald Pizzutello, and Michael Pizzutello (Respondents) Case Number: 02-05864 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard Orlandi ("Orlandi") hereinafter referred to as "Claimant": Bruce D. Oakes,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Countcrrespondent Case Number: 02-05863 Charles Schwab & Co., Inc. Name of the Respondent/Counterclaimant Hearing Site: Chicago, Illinois Terry M. Myers Type of Controversy: Member Firm v. Customer REPRESENTATION OF PARTIES Claimant/Counterrespondent Charles Schwab & Co., Inc. ("Charles Schwab") was represented by Brandon K. Hemley, Esq. in-house counsel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Paul Joyce and Joanne Joyce Case Number: 02-05861 Name of the Respondents Hearing Site: New York, NY Morgan Stanley Dean Witter Inc. Thomas L. Tartaglia, Jr. REPRESENTATION OF PARTIES Claimants Paul Joyce ("P. Joyce") and Joanne Joyce ("J. Joyce"), hereinafter collectively referred to as "Claimants": J. Anklowitz, Esq., Law Offices of J. Anklowitz, Bohe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04059 Thomas Edward Gallup, Claimant vs. VMR Capital Markets, U.S., Respondent. ATTORNEYS: Claimant, Thomas Edward Gallup, ("Claimant") appeared Pro Se, Torrance, CA. *( For respondent appeared James A. Shalvoy, Esq., Manhattan Beach, CA. DATE FILED: September 18, 2000. CASE SUMMARY: Claimant alleged that Respondent failed to pay him for the time that he worked from February 1,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Milligan and Ian Milligan (Claimants) v. Citigroup Global Markets, Inc. file/a Salomon Smith Barney, Inc., Eric Behr, John Chatmas, and Jack Grubman (Respondents) Case Number: 02-05860 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gerald Milligan ("G. Milligan") and Ian Millig

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elyse Fradkin (Claimant) v. UBS PaineWebber, Inc. n/k/aUBS Financial Services, Inc. and Arlene Kaplan (Respondents) Case Number: 02-05859 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Elyse Fradkin ("Fradkin") hereinafter referred to as "Claimant": John Lawrence Allen, Esq., Law Offices of Jo