PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00075 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Arsalam Hojjat Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1992, Claimant PaineWebber, Inc., through its in-house counsel, Edward G. Werner, Esq., alleged that Respondent Arsalam Hojjat ordered the purchase of 5,000

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 01-04355 James Defrancisco \f tp. Global Financial Group, Inc., Kevin Scott Miller Hearing S^p- Chicago, Illinois Daniel Eric Larson, Darren Jason Silverman; Kevin David Renert, and Steven Camello Staltare OF PARTIES Claimant James Defrancisco hereinafter referred to as "Claimant": Jacob Pollack Esq., of Securities Receivable Arbitration, Inc., located in Washingt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tommy E. Thompson, Individually and as Executor of the Estate of Alieen H. Thompson Claimant vs. Meyers Pollack Bobbins, Inc., Michael Ploshnick, Shelli Ploshnick, and Bear Sterns Securities Corp., Respondents. Case Number: 99-02364 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Tommy E. Thompson, Individually and as Executor of the Estate of Alieen H. Thomp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01440 Geraldine Spinella, claimant vs. Wolff Investment Group, Inc. and Ludwig J. Cserhat, respondents. ATTORNEYS: Claimant Geraldine Spinella ("Spinella") appeared Pro Se., Bayside. New York. For Respondents Wolff Investment Group, Inc. ("Wolff") and Ludwig J. Cserhat ("Cserhat"), Patricia Wolff Schaen, President, Wolff Investment Group, Inc., New York. New Y

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Northeastern New York District Council Pipefitters Welfare Fund and Plumbers and Pipefitters Local 773, (Claimants) vs. Nicholas M. Calapa, Shearson Lehman Brothers, Inc., Smith Barney, Inc., Smith Barney Shearson, Inc., Gilford Securities, Inc., Stuart, Coleman & Co., Inc., Investors Associates, Inc., Jaron Equities Corp., Greenwich Equities, and Raike Financial Group., (Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark and Lillian Bikash, (Claimants) vs. Michael Ewanouski, John Regan, and PaineWebber, Inc., (Respondents) Case Number: 99-00346 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Mark and Lillian Bikash, hereinafter collectively referred to as "Claimants": Risa G. Sorkin, Esq., Gadsby & Hannah LLP, Boston, MA. Claimants originally appeared pro se.

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Gunter Klein Claimant NASD Regulation, Inc. v. No. 96-01262 PCM Securities Ltd. Roland I. Greenspan Jeffrey Silverstein Alex DeMars Respondents REPRESENTATION OF PARTIES Gunter Klien ("Claimant") was represented by Theodore R. Chavez, Esq., Law Offices of Theodore R. Chavez, Campbell, California. PCM Securities Ltd., Roland I.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02986 Charles Schwab & Co.. Inc., claimant vs. David Hui, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co.. Inc. ("Claimant"), Edmund V. Saucedo, Esq. of Charles Schwab & Co., Inc., San Francisco, CA. Respondent, David Hui, ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED: June 29, 1999 CASE SUMMARY: Claimant alleged th

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dtapa* Rcnhrtfcn Ip the Muter of the Arbitration Between • Vgffle «rf CfjJBBflt Chaan-YiXa i NASD CASE NO. 9641 104 Securittei Research, be. ATION FOrOnoiiBC Susan L. Dooegan, Bsq., Botton, Maiucbiaeta. Qalane 6,1996, NASD Regulation, inc. received a latter ftom croud stating that ihfl no longer repreiented Claimant in thii natter. OaJmaat appeared pco M» at the erfdwtiaiy hearing of dtiimat

N.A:$.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore B, & Lillie P. Atauasoff 9641036 Name of Respondents Outfield Dean & Company, Inc. Norman KirbyFam, Jr. REPRESENTATION For Claimant: Stephen A, Baker, Esq. of die tow firm of Allan & Shipp, P.A,, St Petersburg, FL. For Respondent Chatfield Dean SL Co., Inc. ("Chatfield Dean"): Chriata D. Taylor, Esq., in-house counsel