N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mildred Askins 94-01619 e oftespondents Emanuel & Company Neal Scott CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 2, 1994, Claimant Mildred Askins, wjjo appeared Pro Se, alleged that Respondents Emanuel & Company ("Emanuel") and Neal Scott ("Scott") made misrepresentations a

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the maner of the Arbitration Between Alice A. Koenig Claimant NASD Arbitration No. 94-01613 v. Financial Network Investment Corporation Roy F. Johnson P.espondents REPRESENTATION For Claimant: Dennis R. Villavicencio, Esq., and John Lawrence Allen, Esq., Carlsbad, California For Respondents: Michael Kirby, Esq., and Mary Waltari, Esq., Post Kirby Noonan & Sweat, San Diego, Californi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between KEMPER SECURITIES, INC. and NASD Case No. 94-01611 GREGORY M. KUSS and GREGORY KNAFELC REPRESENTATION OF PARTIES Claimant, Kemper Securities, Inc. was represented by Diane Fischer of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent, Gregory M. Kuss was represented by J. Jerome Olitt of Arbitration and Mediation Specialists, inc., S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James R. Cassettari 94-01649 Name of Respondent^ s) Fidelity Brokerage Services, Inc. For Claimant, James R. Gassetari ("Cassettari"): £02 Ss, Fort Lauderdale, FL. For Respondent, Fidelity Brokerage Services, Inc. ("Fidelity"): Ann Marie Dever, Esq. of Fidelity, Boston, MA and Larry Goldstein of Fidelity, Fort Lauderdale, FL. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yehoshua S. & Frcida Hecht, JT TEN 94-01646 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Inc. Y. Asher Goodman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Ino-. on May 3, 1994, Claimants Yehoshua S. and Freida Hecht, who appeared Pro Se, alleged that Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the matter of the Arbitration Between Name of Claimant(s) Frank Monachello Name qf Responde.pt (a) Olde Discount Corporation James Duncan NASD Arbitration No. 94-01643 For Claimant: Gary R. Mitchell, Esq., Los Angeles, California For Respondents; -Karen L. Brink, Esq., Olde Discount Corporation, Detroit , Michigan CASE INFORMATION Statement of Claim filed: May 2,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Jones Case No. vs. 94-01637 I^ame of Respondents Douglas Marc Reiner/Reinowitz J. Gregory & Company, Inc. REPRESENTATION For Claimant, John Jones ("Claimant"), Adolph D. Seltzer, Esq., Attorney at Law located in New York, New York. For Respondent, J. Gregory & Company, Inc. ("J. Gregory"), Lorette D. Farris, Compli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION^ INC, CASE: 01-03015 PHD Capital Corp., Claimant vs. Eleftherios N, Ftilakis, Respondent. ATTORNEYS: For Claimant, PHD Capital Corp., ("Claimant"), appeared Michael S. Colombo, of the firm Streetwide Asset Recovery Group, Inc., New York, NY. Respondent, Eleftherios N. Ftilakis, ("Respondent"), did not respond to the Statement of Claim. DATE FILED; June 7, 2001 CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C. Richard Morrow 94-01633 Name of Respondents OLDE Corporation Edward Bristow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant C. Richard Morrow, who appeared Pro Se, alleged that Respondent Edmond Bristow ("Bristow"), a broker at Respondent OLDE Discount

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02517 Scottrade, Inc. Name of the Respondent Hearing Site: Little Rock, Arkansas Donald A. Bryant Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES For Scottrade, Inc., hereinafter referred to as "Claimant": Thomas L Azar, Jr., Esq., Thompson Coburn, LLP, St. Louis, Missouri. Donald A. Bryant, hereinafter referred t