NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael B. and Evelyn R. Simpson 96-00585 Name of Respondents Andover Securities, Inc. Gary Bohling REPRESENTATION For Claimants Michael B. Simpson and Evelyn R. Simpson appeared Terrence P. Tonney, Esq. For Respondent Andover Securities, Inc. appeared David P. Hargrave an attorney in Kansas City, Missouri. For Respondent Gary Bohling ap

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Daniel R. Friedrichsen, Claimant, and No. 96-00233 A.G. Edwards & Sons, Inc., Respondent, REPRESENTATON Claimant Daniel R. Friedrichsen was represented by Matthew J. Forristal, Esquire of Forristal & Goettsh Law Firm, located in Holstein, Iowa. Respondent A.G. Edwards & Sons, Inc was represented by Clay L. Grumke, Esquire of A.G. Edwards & S

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Craig A. Lange Karen Crosby Lange Arbitration No. 95-05647 Name of Respondent(s) Smith Barney Shearson Inc. Sandy Lazorik REPRESENTATION For Claimants: Craig A. Lange and Karen Crosby Lange, Yakima, Washington and Neil Atkins, Senior Estate Planning Group, Inc., Bellevue, Washington For Respondents: Etta M. G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Barbara Graham and Lerry Graham 95-05508 Name of Respondents) Hunter International Securities Inc Howard Cochran Jones Edward Charles William Donner, III Edward Rogers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1995, Claimants Lerry and Barbara Graham, who

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03000 Olde Discount Corporation, claimant vs. David E. Price, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, Michigan. Respondent David E. Price ("Respondent") appeared Pro Se., Lewisville, Texas. DATE FILED: 06/30/1999 CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sharad D. Regay Trust 95-03961 Name of Respondent(s) David Lerner Associates Louis Liberatore REPRESENTATION The Claimant Sharad D. Regay ("Claimant") appeared Pro Se. For Respondents David Lerner Associates Inc. ("DLA") and Louis Liberatore ("Liberatore"), collectively ("Respondents"), appeared Ruthann G. Niosi Esq., a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rafel Kucharski 95-03174 NameofResDondents E* Trade Securities, Inc. Jeannie Pagnocta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 30, 1995; Claanaa& Rafel Kucnarski ("Claimant*), who appeared Pro Se, alleged mat Respondents E* Trade Securities. Inc. ("ETS"), and Jeannie Pa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06517 Mohamed Bin Sheikh Ishaq, (Claimant) vs. Brill Securities, Inc. and Joseph Nazor, (Respondents) ATTORNEYS: For Claimant appeared Kevin P. Conway, Esq., of the firm Conway & Conway, New York, NY. For Respondents appeared Charles M. O'Rourke, Esq., of the firm O'Rourke and Lawlor Attorneys-at-Law, Woodbury, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 03-04333 The Oliver Hertel 2001 Revocable Trust Barnes nf the Respondents Hearing Site- Pittsburgh, PA Edward J. Harris Harris Investment Associates Nature of the Dispute: Customer vs. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, The Oliver Hertel 2001 Revocable Trust, hereinafter referred to as "Claimant", was re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants: Terry Thompson and Andrea Thompson vs. Case Number: 03-04304 Hearing Site: Houston, Texas Names of Respondents: Main Street Management Company and Mark McKenna Little NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Terry Thompson and Andrea Thompson ("Claimants") were represented by Ran