N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl A. & Angelina J. Gangale Case vs. #93-04961 Name of Respondents Phillip Rini The Ohio Company REPRESENTATION Claimants, Carl and Angelina Gangale ("Claimants") appeared pro-se. For Respondent, The Ohio Company ("Ohio"), James Francis from the Ohio Company, located in Columbus, Ohio. For Respondent, Phillip Rin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herta Eisenstadter 93-04953 Name of Respondents Dean Witter Reynolds, Inc. Samuel Brandwein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29,1993, Claimant Herta Eisenstadter, who appeared Pro Se, alleged that Respondent Samuel Brandwein ("Brandwein"), a broker at Respo

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Gerald and Kathleen Holland and Case # 93-04947 Name of Respondents Pam McGinley Carleton Cleveland and Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES Claimants, Gerald and Kathleen Holland, appeared pro se. For Respondents, Smith Barney Shearson, Inc., Pam McGinley and Carleton Cleveland, Alejandro Schwed, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Friederich & Associates, Ltd. Name nf Respondent R.G. Dickinson & Co., Inc. Name of Claimant Gary & Julie Ann Friederich 93-05167 of Resondent 93-05157 (consolidated with 93-05167) R.G. Dickinson & Co., Inc. Representation of Parties Claimants Friederich & Associates, Ltd., ("Friederich") and Gary & Julie Ann Fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Friederich & Associates, Ltd. of Resondent 93-05157 (consolidated with 93-05167) R.G. Dickinson & Co., Inc. Name of Claimant Gary & Julie Ann Friederich 93-05167 Name of Respondent R.G. Dickinson & Co., Inc. Claimants Friederich & Associates, Ltd., ("Friederich") and Gary & Julie Ann Friederich ("Friederichs") (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The William C. Strange and Lucille R. Strange Revocable Living Trust UDA 4/22/98, Lucille R. Strange and Carl W. Strange, Trustees vs. Case Number: 06-02008 Hearing Site: Troy, Michigan Names of Respondents H&R Block Financial Advisors, Inc. and Edward Weidman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF P

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02844 Jaime E. Barrera and Martha E. Barrera, JTWROS Names of the Respondents Hearing Site: Boca Raton, FL Richard Murtagh and Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Jaime E. Barrera and Martha E. Barrera, JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren Blum, Plantation, FL.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitchel Cricchio and Sheri Cricchio and John Locke and Connie Locke v. Alan Dyckman, Northeast Securities Inc., Patrick J. Soltis, and Ronald Zajack Case Number: 00-00907 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants Mitchel and Sheri Cricchio and John and Connie Locke hereinafter collectively referred to as "Claimants": Deborah Junek, Esq., of Gwenn & R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Floyd Wiggins vs. Case Number: 05-03953 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc. and Brent Steven Lemons NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Floyd Wiggins ("Claimant") was represented by Debra Brewer Hayes, Esq., Woska & Hayes, LLP, Kingwood, Texas until

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mark E. Laurnen and Cynthia J. Laurnen vs. Names of Respondents Raymond James Financial Services, Inc., Dennis A. Leonida, and Capital Financial Group, Inc. Case Number: 05-01668 Hearing Site: Denver, Colorado NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Mark E. Laurnen and Cynt