Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kaveh S. Shahi and Leslie R. Shahi (Claimants) v. Ascend Financial Services, Inc. and Securian Financial Services, Inc. (Respondents) Case Number: 03-01854 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Kaveh S. Shahi and Leslie R. Shahi ("The Shahis") hereinafter collectively referred to as "Claimants" appea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Gilmartin (Claimant) v. Cantor Fitzgerald Securities and Joseph Kelly (Respondents) Case Number: 00-03560 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brian Gilmartin ("Gilmartin") hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Previously represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry-Anne Brown, (Claimant) vs. First Union Securities, Inc. (f/k/a/ Everen Securities, Inc. and Kemper Securities and Kemper Clearing Corporation (Respondents). Case Number: 00-00361 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Terry-Anne Brown, ("Claimant") Stuart Pack, Esq.: Gorsuch Kirgis, LLP, Denver, Co. Respondents, First Union Securities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01853 Keith Duffy Name of the Respondent Hearing Site: Boca Raton, Florida ABN-AMRO Nature of the Dispute: Customer vs. Member. REPRESENTATTON OF PARTIES For Keith Duffy, hereinafter referred to as "Claimant": Michael J. Rovell, Esq., Law Offices of Michael L Rovell CHTD, Chicago, Illinois. For ABN-AMRO ("ABN"), hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01851 Prime Charter Ltd. Name of the Respondent Hearing Site: Boca Raton, FL David A. Baum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prime Charter Ltd. ("Prime"), hereinafter referred to as "Claimant": Evelyn Bukchin, Counsel, Prime, New York, NY. David A. Baum ("Baum"), hereinafter referred to

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION i * CASE: 03-01844 Lee R. Frank, (Claimant) vs. Whitehall Wellington Investments, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se> Tamarac, FL. For Respondent appeared Stuart Weinberg, Pres., Port Washington, NY. NATURE OF DISPUTE: Associated Person vs. Terminated Member DATE FILED: March 14, 2003 CASE SUMMARY: Claimant alleged that Respondent placed erroneous comments on his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-01844 Lee R. Frank, Claimant vs. Whitehall Wellington Investments, Inc., Respondents. ATTORNEYS: Claimant, Lee R. Frank, ("Claimant") appeared pro se., Tamarac, FL. For Respondent, Whitehall Wellington Investments, Inc., ("Respondent") appeared its President, Stuart Weinberg, Port Washington, NY. DATE FILED: March 14, 2003 CASE SUMMARY: Claimant alleged that Respondent placed erroneous c

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul V. Bergantino, Jennifer E. Bergantino, Individually and as Parents and Next Friends of Their Minor Children, John Angelo Bergantino, Elizabeth Marie Bergantino and David Rocco Bergantino, and Paul V. Bergantino as Trustee of the Bergantino 1999 Grantor Retained Annuity Trust (Claimants) v. Lehman Brothers, Inc. and Edward L. Turley (Respondents) Case Number: 03-01843 Hea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Africk (Claimant) v. Blaylock & Partners, L.P. (Respondent) Case Number: 03-01841 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Africk ("Africk") hereinafter referred to as "Claimant' 1 : Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Blaylock & Partners

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen Munk and Karen Munk IRA (Claimants) v. PaineWebber, Inc. n/k/a UBS Financial Services, Inc. and Linda Koszalka (Respondents) Case Number: 03-01839 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Karen Munk ("K. Munk") and Karen Munk IRA ("K. Munk IRA") hereinafter collectively referred