NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05592 Philip Goldstein, claimant vs. Veritrust Financial, LLC, respondent. ATTORNEYS: Claimant appeared pro se, Northridge, CA. Respondent did not respond to the statement of claim. DATE FILED: September 20, 2002 CASE SUMMARY: Claimant alleged that respondent deducted money from commissions for Errors & Omissions coverage. Claimant further alleged that respondent made him opt out of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05590 Jerry P. Sellers Names of the Respondents Hearing Site: Atlanta,Georgia William H. Greer ffl John C. Walker 1H H. Wayne Mutton Salomon Smith Barney Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jerry P. Sellers, hereinafter referred to as "Claimant": Harry G. Mason, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-05588 D.R./C.L. Lewis Family Ltd. Partnership D. Robert Lewis Cyra L. Lewis Name of the Respondent Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For D.R./C.L. Lewis Family Ltd. Partnership ("Lewis Family"), D. Rob

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05585 Prime Charter Ltd., Inc., Claimant vs. Paul Lutwin, Respondent. ATTORNEYS: For Claimant appeared in-house counsel, Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, Coral Springs, FL. DATE FILED: September 20, 2002 CASE SUMMARY: Claimant alleged that Respondent, following his termination from the corporation, has failed and refused to repay monies owed pursuant to the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05581 Raymond James & Associates, Inc. Name of the Respondent ' , Hearing Site: Tampa, Florida Robert Berger REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Rick A. Buchwalter, Vice President, Assistant Corporate Counsel, Raymond James & Associates, Inc., St. Petersburg, Florida. For

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David S. O'Block 02-05579 Nashville, Tennessee Name of Respondent Quick & Reilly, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES David S. O'Block ("Claimant") was represented by Claude O. Ramer, n 9 Esq., IdleAire Technologies Corporation, Knoxville, Tennessee. Quick & Reilly, Inc. ("Respondent") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael T. Sullivan (Claimant) vs. Thomson Institutional Services, Inc. (Respondent) Case Number: 02-05578 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael T. Sullivan ("Sullivan"), hereinafter referred to as "Claimant": Stephen C. Kahr, Esq., New York, NY. Respondent, Thomson Institutional Services, Inc. ("TIS"), hereinafter referred to as "Responden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tillson Family Trust, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 00-04028 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondent: John L. Erickson, Jr., Esq. Jones, Bell, Abbott, Fleming £ Fitzgerald L.LP. Los Angele

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05577 Lois Dvoskin-Feldman, claimant vs. Hennion & Walsh, Inc., and Alexander Vermitsky, CFP, respondents. ATTORNEYS: Claimant, Lois Dvoskin Feldman, appeared pro se, New Milford, NJ. Respondents appeared pro se through Alexander Vermitsky, CFP, Director of Compliance, Parsippany, NJ. DATE FILED: September 19, 2002 CASE SUMMARY: Claimant alleged that respondents debited her account w

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants: Robert J. Wilson, Elizabeth M. Wilson, Jerome A. Kearns, Heather H. Kearns, Christopher L Imler and Teresa Rene Poole vs. Names of Respondents: Morgan Stanley DW, Inc., Jeffrey C. Leo, Todd E. Lapinson, Jill Bonigan and Gina Caracciola NASD No. 02-05569 Hearing Site: Houston, Texas NATURE OF CASE Customers