AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Donald P. Smith, Claimant and Counter-Respondent, v. Case Number 96-02040 Dean Witter Reynolds, Inc., Respondent and Counter-Claimant. REPRESENTATION OF PARTIES , Claimant and Counter-Respondent Donald P. Smith ("Claimant") was represented by L. Jerome Stanley, Esq. of L. Jerome Stanley, P.C. located in Baton Rouge, Louisiana. Respondent and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl Schramm 96-02039 Name of Respondents .T G. Bradley Taylor Chatfield Dean & Co., Inc. Name of Third Party Respondent Sanford Earl Williams REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondents Chatfield Dean & Co., Inc. ("Chatfield Dean") and G. Bradley

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Edward Robert Waite NASD Arbitration No.96-02033 v. Name of Respondents Glenfed Brokerage Services, Colonial Management Associates, Inc. and Van Katnpen American Capital Distributors, Inc. REPRESENTATION For Claimant: Paul Larson and Edward Robert Waite For Respondent Glenfed Brokerage Services: Joel Dwork, Esq. H

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Craig I. Hughes 96-02029 Name of Respondents Sanford C. Bernstein & Co. Inc. REPRESENTATION For Claimant, Craig I. Hughes ("Claimant"), appeared Daniel E. Katz, Esq. of the law firm of Pressman & Associates located in New York, New York. For Respondent, Sanford C. Bernstein & Co., Inc., ("Respondent"), appeared Carole O'Blenes. Esq. o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02065 Jurgen Wagener, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Respondent. ATTORNEYS: Claimant, Jurgen Wagener, ("Claimant"), appeared Pro Se., Kaarst, Germany For Respondent, Merrill Lynch Pierce Fenner & Smith, ("Respondent"), appeared in-house counsel, Yosef Sinensky, Esq., New York, NY. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that Respondent acted neg

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Arnold Taft 96-02028 Name of Respondents Cantella & Co., Inc. Curt Stetson Harold Gong .J. Michaels & Co., LTD. Titan/Value Equities Group, Inc. Jonathan Alan & Co., Inc. Mitchel Feinglas REPRESENTATION Claimant Arnold Taft ("Claimant") appeared pro se. m< For Respondent Cantella & Co., Inc. ("Cantella") appe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gilbert Charland 96-02026 Name of Respondent Nationwide Securities Corp. CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation Inc. on May 10, 1996 claimant Gilbert Charland ("claimant") who appeared Pro Se, alleged that respondent Nationwide Securities Corporation ("Nationwide") felled to

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Sherman C. Craig 96-02022 Name of Respondents PNC Brokerage Pamela Watson REPRESENTATION Claimant Sherman C. Craig ("Claimant") was represented by David L. Sage, II, Esq., Hummel & Coan, Louisvile, KY. Respondents PNC Brokerage ("PNC") and Pamela Watson ("Watson") were represented by Frank F.

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimants Joseph and Margaret "Peggy" Zarrelli 96-02019 Name of Respondents Maidstone Financial Inc. Robert J. Desiano Marshall A. Bernstein REPRESENTATION For claimants, Joseph and Margaret "Peggy" Zarrelli ("claimants"), appeared George V. Cornell, III, Esq. of the law firm George V. Cornell, HI and Associates located in Staten Island, New York. For respondent

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margaret Bracknell, Claimant, and No. 96-02010 Prudential Securities Inc. and Kevin OTriel, Respondents and Third Party Claimants, G. James Bracknell, Jr., Third Party Respondent. REPRESENTATION OF PARTIES Claimant, Margaret Brackneil, was represented by Paul Brumley, Esquire located in DeSoto, Texas in initial pleadings and thereafter by R.