NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00896 Paul L. Struck, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Milwaukee, WI. For respondent appeared in-house counsel, Ronald E. Wood, Esq., San Francisco, CA. DATE FILED: February 29, 2000 a timely manner. Claim Data Claim: $3,302.53 Punitive: $6,607.59 Award Data Award: $.00 Punitive: $.'30 AWARD: The unde

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant William G. Davidson, III 93-03666 NameofResDondents PaineWebber, Inc. Walter Bechtle REPRESENTATION Claimant William G. Davidson, III ("Davidson") was represented at the hearing pro se. Respondents PaineWebber, Inc. ("PaineWebber") and Walter Bechtle ("Bechtle") were represented at the hearing by Frederick D. Greco, Esq., o

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Thomas Maloney, Claimant, v. NASD No. 93-03663 Ladenburg, Thalmann & Co., Inc. and Ed Rivers. Respondents. Representation For Claimant: Thomas Maloney, pro se, Pacific Palisades, California For Respondents: Norman Lawi, Esq. of Ladenburg, Thalmann & Co., Inc., New York, New York Case Information Statement of Claim filed: September 10,1993

NASD AWARD Claimants PaineWebber, Inc. Case Number 93-03662 Respondents Ralph Fuentes REPRESENTATION i Claimant, PaineWebber, Inc. ("PW") was represented by Gary Stegeland, Esq. of PW, Weehawken, NJ. Respondent, Ralph Fuentes ("Fuentes") was pro se. CASE INFORMATION Statement of Claim filed: September 16, 1993. Claimant's Submission Agreement signed on September 13, 1993 by Gary Stegeland on behalf of PW. Respondent failed to fil

NASD AWARD NATIONAL ASSOCIATION OF SECURJITES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles A. and Judith L. Stevens 93-03661 Name of Respondents Xinterfinancial Corporation Jeremy J. Black Women Securities International Corp. Consolidated Investment Services, Inc. REPRESENTATION Charles A. and Judith L. Stevens ("Claimants") were represented by Cameron W. Tyler, Esq., Boulder, Colorado. Interfinancial

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert G. Chappell 93-03660 Name of Respondents Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1993, Claimant Robert G. Chappell, who appeared Pro Se, alleged that he let his broker at Respondent Dean Witter Reynolds, Inc. know that he knew no

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Stella F. Tower 93-03636 Name of Respondents Olde Discount Corporation David B. Ammerman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16,1993, Claimants Roy E. and Stella F. Tower, who appeared Pro Se, alleged that Respondent Olde Discount Corporation, thro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narnp of Claimant Willis Stan- Case No. 93-03635 Name of Respondent First of Philadelphia Investment Group, Inc. REPRESENTATION For Claimant, Willis Starr ("Starr"): pro-se. For Respondent, First of Philadelphia Investment Group, Inc., ("FPIG"): J. Paul Boyle Chief Executive Officer of FPIG. CASE INFORMATION Statement of Claim filed: Se

N.A.S~.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Karoi E. Kacprzak 93-03632 Name of Respondents J.W. Gant and Associates, Inc. Hanifen, Imhoff Inc. REPRESENTATION Claimant Karol R. Kacprzak ("Claimant") represented himself. Claimant did not attend the hearing on April 13, 1994. Respondent J.W. Gant and Associates, Inc. ("Gam") did not appear and is no longer doing bu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, TNC. In the matter of the Arbitration Between of Caimant Gloria N. Zwinak NASD Arbitration No. 93-03627 N,arfle of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Steven Fillingim June Nugata Buslepp Ken Cadaratte REPRESENTATION For Claimant: Rodney W. Wickers, Esq. - Torrance, California For Respondents: Michael J. Abbott and Glenn J. Dickinson, Esq. - Jones, Bell