NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bruce A. Bode Claimant(s) vs. 89-00878 Graystone Nash, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bruce A. Bode alleged that Respondent(s) Graystone Nash, Inc. committed fraud with respect to account Claimant held with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) Bruce A. B

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur McCollum Claimant(s) vs. AWARD 89-00877 E.F. Hutton, Shearson Lehman Brothers and .James Kenney Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant (s) Arthur McCollum alleged that Respondent (s) E.F. Hutton, Shearson Lehman Brothers and James Kenney made unauthorized trades and mismanaged his account. Respondent(s) maintain that they

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of n aimantf si 1 Terry Hill Name of Respondent f s > time wt MfffcMMan.ia> Dean Witter Reynolds, Inc. Bill Elder » -------- ~ " '66J 9 J NVf CASE 5MMARY / In a Statement of Claim filed with the KASD on March 21, 1989, Claimant Terry Hill alleged that Respondents engaged in acts as follows: 1. Made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dean Witter Reynolds, Inc. Claimant ) vs. _- ) AWARD Ronald Baldwin Respondent ) CASE NO. 89-00870 Heard Before the Members of the Arbitration Panel: Kent Mastores Marion Sperry Robertson Rudy Thorwirth SUWARY OF ISSUES This case was filed on March 23, 1989. Claimant alleged that Respondent's account incurred margin calls, that Respondent failed to co

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02598 Charles Schwab & Company, Inc., claimant vs. Thomas Daddona, respondent. ATTORNEYS: For Claimant, Charles Schwab & Company, Inc., appeared in-house counsel, Richard A. Karoly, Esq., San Francisco, California. Respondent Thomas Daddona did not respond to the Statement of Claim. DATE FILED: 06/07/1999 CASE SUMMARY: Claimant alleged that on or about Mar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth Felix Edgecombe Case No. 00-01024 Names of Respondents First Union Brokerage Services, Inc. Gregory S. Daniel REPRESENTATION OF PARTIES For Kenneth Felix Edgecombe ("Edgecombe"), hereinafter referred to as "Claimant": Jay Rothlein, Esq., of Miami Beach, Florida and, after a notice of co-counsel was received on May 4, 2000, Darren C. Blum

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Rita Dewerff Claimant(s) vs. 89-00867 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY 1 Claimants Gary and Rita DeWerff alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. did not execute Claimant order on a timely basis. Respondent denies allegations. RELIEF REQUE

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Patricia A. Haney ) Claimant(s) ) and ) CASE NO. 89-00865 Dean Witter Reynolds Inc. ) ) Respondent (s) CASE SUMMARY In a claim filed with the NASD on or about March 21, 1985, Claimant, Patricia A. Haney ("Haney") alleged that Respondent, Dean Witter Reynolds Inc. ("Dean Witter") violated Section 10(b) of the Securities Exchange Act of 1934 a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) AUDREY JACKSON, ) Claimant, ) ) Case 189-00863 vs. ) Award ) SHEARSON LEHMAN HUTTON AND COMPANY. ) AND DONALD TOLLIN. ) ) Respondent. ) Heard before the member of the Arbitration Panel: Casey V. Mills. Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on August 22, 1989. The hearing was conducted in Fort Lauderdale. Flor

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00862 Paula Levine Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Paula Levine failed to pay the balance due on her account. Respondent(s) maintain that Claimant has mishandled her account. RELIEF REQUESTED Claimant(s) Charle