Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christophe Perillat and Quitterie Perillat (Claimants) v. Taylor Stuart Financial, Inc. and Patrick Joseph O'Connor (Respondents) Case Number: 02-05468 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Christophe Perillat ("C. Perillat") and Quitterie Perillat ("Q. Perillat") hereinafter collec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: HD Brous & Co., Inc. (Claimant) v. Andrew Dorman (Respondent) Case Number: 02-05467 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant HD Brous & Co., Inc. ("HD Brous") hereinafter referred to as "Claimant": Robert A. Giacovas, Esq., and Spencer Mazyck, Esq., Lazare Potter Giacovas & Kranjac, LLP, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Mesnikoff IRA (Claimant) v. Ryan Beck & Co., Inc., Gnjutal & Co., LLC, and Jason Rubinstein (Respondents) Case Number: 02-05465 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member, Terminated Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Harvey Mesnikoff IRA ("Mesnikoff) hereinafter referred to as "Claimant": Zenon B. Masnyj,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Rosemary Cassetta (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Anthony DeGrandi (Respondents) Case Number: 02-05463 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Michael and Rosemary Cassetta ("the Cassettas") hereinafter collectively referred to as "

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-05459 Estate of Jerome A. Mullett, Claimant vs. Kathy Day and Jennifer Lamonica, Respondents. ATTORNEYS: Claimant, Jerome A. Mullett, appeared pro se., Westminster, MD For Respondents, Kathy Day and Jennifer Lamonica, appeared Patrick M. Dennis, Esq., in-house counsel for Wachovia Securities, Richmond, VA, DATE FILED: September 13, 2002 CASE SUMMARY: Claimant alleged that Respondents fai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Einar Greve, Claimant v. Merrill Lynch Pierce Fenner & Smith Inc., Respondent Case Number: 02-05458 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES For Claimant: John A. Baade, Esq. Law Office of John A. Baade Tucson, Arizona For Respondent: Tom Galbraith, Esq. Meyer, Hendricks & Bivens Phoenix, Arizona CASE INFORMATION Statement of Claim filed: Septembe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Daniels, (Claimant) vs. Chase Investment Services Corp., (Respondent) Case Number: 00-04008 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robert Daniels, hereinafter referred to as "Claimant": Daniel A. Eigennan, Esq., Attorney at Law, New York, NY. Respondent, Chase Investment Services Corp., hereinafter referred to as "Respondent": Matthew C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mark Manning Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 02-05454 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mark Manning, referred to as "Claimant": John C. Taylor, Esq., Taylor, Day & Currie, Jacksonville, Florida. For Merrill Lynch, Pierce, Fenner & Smith, Inc., referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05453 John J. and Marianne Maxwell Name of the Respondent Hearing Site: Tampa, Florida H&R Block Financial Advisors, Inc. REPRESENTATION OF PARTIES For John J. and Marianne Maxwell, referred to as "Claimant": Bruce W. Barnes, Esq., Bruce W. Barnes, P. A., Clearwater, Florida. For H&R Block Financial Advisors, Inc., referred to as "Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05452 John W. Hood Name of the Respondent Hearing Site: Atlanta, Georgia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John W. Hood, hereinafter referred to as "Claimant": John P. Gallagher, Esq. and Ronald J. Stay, Esq., Stites & Harbison PLLC, Atlanta, Georgia and Brian N. Smiley,