Vd-2 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Frank W. Klescewski vs. Grigsby, Brandford & Co., Inc. Calvin Grigsby Napoleon Brandford Claimant Cross-Respondent t Respondents ) Cross-Claimant ) AWARD CASE #88-03647 SUMMARY OF ISSUES This case was filed on November 25, 1988. Claimant Frank W. Klescewski alleges that he was hired by Respondent firm Grigsby, Brandford & Co on or about September 15, 1986. As

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John T. Barbieri vs. Ira Epstein Stocks and Options vs. Transaction Services, Inc. Claimant Respondent Respondent CASE #88-03642 AWARD CASE SUMMARY Claimant John T. Barbieri ("Barbieri") alleges that Respondent Ira Epstein Stocks & Options ("Ira Epstein") failed to timely execute Barbieri's orders. Barbieri contends that as a result of t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Miriam Edelstein 94-01952 Name of Respondents Advantage Capitol Corporation Nancy S. Bel! REPRESENTATION For Claimant: Miriam Edelstein, Nanuet, New York. For Respondent: J. Christopher Jackson, Esq., Van Kampen American Capital Inc., Oakbrook Terrace, Illinois. CASE INFORMATION Statement of Claim filed: May 23, 199

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02320 Sheldon Wolf, IRA, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant Sheldon Wolf ("Claimant") appeared Pro Se., Tampa, Florida. For Respondent Discover Brokerage Direct, Inc. ("Respondent"), Judith M. Rosenberg, Esq., Discover Brokerage Direct, Inc., San Francisco, California. DATE FILED: 05/20/1999 CASE SUMMARY: Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Jardim Case# vs. 94-01789 Name of Respondents Shearson Lehman Brothers, Inc. REPRESENTATION Claimant, Dr. Anne Jardim ("Claimant"), represented herself at the hearing For Respondent, Smith Barney Shearson, Inc. ("Respondent"), George Richardson, JH, Esq., in house-counsel located in New York, New York. CASE INFORMA

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Douglas A. Gregor and Catherine T. Gregor. Joint Tenants and 94-01788 Name of Respondent Pacific Brokerage Services, Inc. REPRESENTATION OF PARTIES Douglas A. Gregor and Catherine T. Gregor, Joint Tenants ("Claimants") was represented by Kenneth Philip Ross, Esq., Robert F. Coleman & Associates, Chicago, Illinois. Pacific Bro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Luigi G. Oddo Case No. 94-01630 Name of Respondent Olde Discount Corporation For Claimant, Luigi G. Oddo ("Oddo"): Pro Se. For Respondent, Olde Discount Corporation ("Olde"): David T. Doyle, Esq., and Karen L. Brink, Esq. of Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: May 3, 1994. Claimant's Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Barbara L. Walters, Judi Schmidt, et. al. Case No:94-01537 Name of Respondent(s) Donnellan Haylett Company, Inc., Marilyn Snodell-Griffmg REPRESENTATION For Claimants, Barbara L. Walters, Judi Schmidt, et.al. ("Walters"): W. Andrew Clayton Jr.,Esq., of Synder, Groner, Schieb & Clayton in Sarasota, Florida For Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur P. Levinson Case No. 94-01270 f Respondents Prudential Securities Inc William John Mooney For Claimant, Arthur P. Levinson ("Levinson"), Curtis Carlson, Esq. of Carlson & Bales, P. A.*, Miami, Florida. For Respondents, Prudential Securities, Inc. ("Prudential") and William J. Mooney ("Mooney"), Donna Ross Daniels, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth H. South, Claimant v. Frank W. Hill and Helen M. Hill, Trustees of the Hill Family Trust; and Cathleen A. Hill, Respondents Case Number: 06-02733 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Michele R. Fron, Esq. Scott E. Rahn, Esq. Keesal, Young & Logan Long Beach,