Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between SII Investments, Inc. Case No. 00-00186 Hearing Site: Milwaukee, Wisconsin of Respondent Jason Miles Benton PFPRFSF.NTATTfW OF PARTTF.S Claimant SII Investments, Inc. ("SII") was represented by Phillip C. Korovesis, Esq., of the firm of Butzel Long located in Detroit, Michigan. Respondent Jason Miles Benton ("Benton") did not appear. TASF TIVFORMATTON Statem

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elliot Schwarz Claimant(s) vs. Wakefield Financial Corp., Alexander Minella, George Palefsky, Frank Casillo, Phillip Bredow, Keith Minella, Wall Street Clearing Co., and Joseph Turkiewicz Respondent(s) NOTICE OP ARBITRATION AWARD 89-01330 CASE SUMMARY Claimant(s) Elliot Schwarz alleged that Respondent(s) Wakefield Financial Corp., Alex

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald F. Gamer and Terry A. Gamer vs. Claimant(8) 89-01328 Jane Nize Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald F. Gamer and Terry A. Gamer alleged that Respondent(s) Jane Nize made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Donald F. Gamer and Terry A. Gamer requested da

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E. Macalik Claimant(s) vs. Blinder, Robinson & Co., Inc., Sean McSorley and Daniel Defoe Respondent(s) NOTICE OF ARBITRATION AWARD 89-01324 CASE SUMMARY Claimant(s) Donald E. Macalik alleged that Respondent(s) Blinder, Robinson & Co., Inc., Sean McSorley and Daniel Defoe purchased securities in Claimant's account without authorizati

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Omar Corp. Claimant(s) vs. 89-01322 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Omar Corp. alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. made misrepresentations and failed to follow instructions. Respondent(s) deny all allegations of wrongdoing. REL

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cicely Paretzky Claimant(B) vs. A.F. Green & Co., Mr. A.F. Green and Michael Stein Respondent(s) NOTICE OF ARBITRATION AWARD 89-01318 CASE SUMMARY Claimant(s) Cicely Paretzky alleged that Respondent(s) A.F. Green & Co., Mr. A.F. Green and Michael Stein made misrepresentations. Respondent Michael Stein maintains that at no time did he offer the

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02666 Everen Securities, Inc., claimant vs. Christopher R. Clark, respondent. ATTORNEYS: For Claimant Everen Securities, Inc. ("Claimant"), A. Brad Busscher, Esq., Legal Department of Everen Securities, Inc., Chicago, Illinois. Respondent Christopher Clark ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/10/1999 CASE SUMMARY: Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Lumpp Claimant(s) vs. 89-01317 Wall Street Clearing Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John R. Lumpp alleged that Respondent{s) Wall. Street Clearing Company failed to release his account after an unauthorized trade. Respondent(s) maintain that they cannot by held responsible for trades or trade canc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Shuh-Yueh Simon Hsu Claimant(s) vs. 89-01316 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Shuh-Yueh Simon Hsu alleged that Respondent (s) Shearson Lehman Hutton, Inc. committed an unauthorized transaction in Claimant's account held with Respondent. Respondent(s) denies Claimant's allegations.

H.A.S.D. A1UD -imritfi OF Tn 89-01313 & Co., Inc. va. Joanne Abaodroth Claimant DVC-JFW Investors appeared at** was represented by Qullickson, Esq. of Lindquist & Venom, Minneapolis, Minnesota. Respondent Bear Steams & Co., Inc. appeared and waa represented by Mark Reed, Esq. of Drake & Rogosheske, Minneapolis, Minnesota. Respondent Joanne Abendroth appeared pro se. Respondent Nbnnan Gershnsn was -••JBI maifinl by Charles Weinberg, Esq. of Livin