Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-05422 Daniel L. Wyant and Karen S. Struck as Co-Trustees of the Delia Jeffery Trust Names of the Respondents Hearing Site: Orlando, Florida Prudential Equity Group, Inc. f/k/a Prudential Securities Incorporated Michael Blakemore Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Daniel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph A. Kreji and 02-05421 Chicago, Illinois Name of Respondents Citicorp Investment Services, Inc., John Doyle and Geoff Louis Carfagnini Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Joseph A. Kreji ("Claimant") was represented by Donald M. Thompson, Esq., located in Chicago, Illinois. Citicorp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-05416 D. Paone Revocable Trust FBO Dorothy M. Paone, POA Marilyn W. Paono-Rando Name of Respondent Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For D. Paone Revocable Trust, FBO Dorothy M. Paone, POA Marilyn W. Paono-Rando, hereinafter referred to as "Claimant", appeared pro se, assisted by her daught

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f * 02-05406 World Choice Securities, Inc. flai'mflntfi flfcflrjng ffl?' Dallas, Texas Butler Freeman Tally Financial Group, L.L.C.; Wilda J. Berry; and, Kenneth C. Boothe William Ross Morris, in Member Firm v. Member Firm and Associated Persons v. Associated Person Claimant/Counter-Respondent World Choice Securities, Inc. ("World Choice"), hereinafter referred to as

Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfv n«'rmant Paw Niimhpr- 02-05404 Wflliam R.Whttehurst "Many* nffhf* T^fgpOTutent Hearing Sfrfl' Baltimore, MD Legg Mason Wood Walker, Inc. PAPT¥ Claimant/Counterclaim-Respondent, William R. Whitehurst (Claimant), was represented by John H._West ffl, Esq. and James H. West, Esq., West & Moore, LLC, Baltimore, MD. Respondent Counterclaim-Claimant,, Legg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manuel Zamora (Claimant) vs. Fleet Enterprises, Inc., Quick & Reilly, Inc., National Financial Services Corp., and Alfonso R. Pena (Respondents) Case Number: 02-05403 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Manuel Zamora, hereinafter referred to as "Claimant": Robert Zullo, Jr., Esq., New Brunswick, NJ. Respondents, Fleet Enterprises, Inc. ("Fleet"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nrnne frf Trr na imMt/rinilTitpi - r Mesirow Financial, Inc. " * Richard L. Mundrane /Counterclaimant c: 02-5401 Hearing Si tf " Chicago, Illinois Claimant/Counter Respondent Mesirow Financial, Inc. hereinafter referred to as "Mesirow": Ronald P. Kane, Esq., of Kane & Fisher, Ltd., located in Chicago, Illinois. Respondent/Counterclaimant Richard L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:QG-Q40Q4 Millennium Securities Corp., claimant vs. Jonathan Adwar and Adam Forman, respondents. ATTORNEYS: For claimant appeared Rick Cardillo, Esq., in-house counsel, New York, NY Respondent Jonathan Adwar appeared Pro Se, Woodmere, NY, Respondent Adam Forman appeared Pro Se, Amity Harbor, NY. DATE FILED: September 13, 2000. CASE SUMMARY: Claimant alleged that each respondent owes $6,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: « Name of the Claimant Case Number: 02-05396 ( David T. Barker ' ' . Names of the Respondents Hearing Site: Atlanta,'Georgia Morgan Keegan Jim Hamilton Regions Investment Company Joseph J. Palladino • REPRESENTATION OF PARTIES For David T. Barker, hereinafter referred to as "Claimant": Nick A. Dodys, Esq., Crowley, Appel, Starkey & Holbrook, LLC, Atlanta, Georgia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bert Vladimir (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, David Savetz, and Henry Blodget (Respondents) Case Number: 02-05395 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bert Vladimir ("Vladimir") hereinafter referred to as "Claimant" appeared pro se. Respon