AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mien Towbin and Gerald Towbin vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 06-00093 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ilien Towbin and Gerald Towbin ("Claimants") were represented by Stuart R. Berkowitz, Esq., Law Office of Stuart R. Berkowitz, LL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc. vs. Case Number: 06-03428 Hearing Site: Chicago, Illinois Name of Respondent R. Thomas Loftin, III NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Christopher J. Carney, Esq., Brouse McDowell, LPA, Cleveland, Ohio. R. Tho

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Richard Kretz Princeton Equity Services, Inc. Southern Financial Group, Inc. David M. Wooten David I. Farber Hearing Site: Philadelphia, PA. Case No. 99-03389 Claimant, Richard Kretz, referred to as "Claimant": Hal K. Haveson, Esq., Haveson and Otis, Princeton, NJ. Respondents, Princeton Equity Services, Inc. (PES) and David I. Farber, were repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Connie S. Vanlerberg vs. Case Number: 06-03244 Hearing Site: Kansas City, Missouri Name of Respondent Gold Capital Management, Inc. NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Connie S. Vanlerberg ("Claimant") was represented by Jeffrey S. Kruske, Esq., The Law Offices of Jeffrey S. Kruske, PA, Overland Park, Ka

May 2, 1989 Sandra A. Twigg, Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 Re: NASD Arbitration 88-03309 Cramer v. Power Securities; Bajorek; Eckert Dear Ms. Twigg: My decision in the above-referenced case follows: Respondent Power Securities Corporation, Ronald G. Bajorek, Jr. and David J. Eckert are jointly and severally liable and shall pay the sum of $1,040.00 to Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. William J. Van Orden Respondent{s) NOTICE OF AWARD 88-03290 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on Claimant on October 14, 1988 and by the Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Wall Street Clearing Company Claimant vs. Case #88-03238 AWARD Larry Davinsky Respondent CASE SUMMARY Claimant Wall Street Clearing Company alleged that Respondent Larry Davinsky was a customer of Beuret & Co., Ltd., and that the Claimant carried the Respondent's account pursuant to the terms of a clearing agreement between the Claimant and Beur

NASa Arbitration 9 N. A. S. D. NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association ot Securities Dealers, inc. NASD Financial Center 33 Whitenall Street New York. New York 1000 In che Matter of the Arbitration Between Stanley S. 1-fcGee vs. Naifle of Respondents. Diversified Equities Corporation Joseph Friscia Frank Ruggieri Marc J. Rothenberg Case it 08-03225 Claijnant, Stanley S. McGee, alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between tjoKn h'/ip vs. 4flc/k- L^cu-fu-Lci- 0-TvcA Claimants ) Award ) ) NASD 1 ) .. Respondents ) ) $- 03004 SUMMARY OF ISSUES This case was filed on ••o..Wb/ /> A ft fj ±: -f fairvy . /{_;• •« >?.:r . -A,if- ..- A/: / u !*• JLi.ii _ _ - . O ..--nil ,i_(r f ' lf '••

Arbitration N.A.S.D. AWARD „_ . . . . . National A»*oc»tfon of S«curitiM OMtert. Inc. Suit* 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Thra« First Nation*; Pta Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Henry 0. Espinosa 88-02947 Bead Kanode and Fitxosrald, Tainan, Inc. Hsnry D. Espinosa ("Claimant*) alleged that Bead Kanode ("RaspDndsnt") * registered representative of Fitzg*tald-Talnan, lie.