N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE-.97-06032 Norman C. Charles MD,PC Pension Plan, claimant vs. Charles Schwab & Co., Inc. respondent. ATTORNEYS: For claimant appeared Norman C. Charles - New York, NY. For Respondent appeared Sean Meehan, Esq. - San Francisco, CA. DATE FILED: 12/29/97 CASE SUMMARY: Claimant alleged failure to deposit in mutual fund as directed. Claim Data Award Data Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01740 Franklin S. Richardson and Lucille Richardson, claimants vs. Scottrade Financial Services, respondent. ATTORNEYS: Claimants appeared Pro Se, Louisville, KY. For Respondent appeared Mark Finnegan, compliance manager, St. Louis, MO. DATE FILED: April 9, 2001 CASE SUMMARY: Claimants alleged that respondents failed to apply for the partial refund of the Foreign Tax that was wi

l/P.»/»«_rai_10 : 27 PAX NASD REGULATION Q D07 Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Margaret Goodhmd and 97-06030 Name of Respondent MarkRumpza Margaret Goodhmd ("Claimant") was represented by Richard G. Himelrick, Esq., of Tiflany & Bosco, P.A_, Phoenix, Arizona. Mark Rumpza ("Respondent") was represented by Craig Collins, Esq., the Law Offices of Craig Collins, Sun City, Arizona.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Phillip Ellis Case No. 97-06027 Names of Respondents Ad vest, Inc. Steven Rothman REPRESENTATION OF PARTIES For Claimant: Albert B. Lewis, Esq. of Piper, Esteva, Green, Karvonen & Lewis, St. Petersburg, Florida. For Respondent Advest, Inc. ("Advest"): Gary M. Miller, Esq. of Stein, Rosenberg & Winnikoff, Fort Lauderdale, Florida. For Respondent

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Manor of the Arbitration Between •Name of Claimant John A. Schiavone 97-06026 Name of Respondents Investors Associates, Inc Glenn Lavender REPRESENTATION Claimant John A. Schiavone ("Claimant") represented himself. Respondent Investors Associates, Inc. ("Investors") was not represented at the hearing. Respondent Glenn Lavender ("Lavender") was represented by Robert Bens

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between' Name of Claimant H.J. Meyers & Co., Inc. Case Number and 97-06022 Name of Respondent Harold S. Sokol REPRESENTATION OF PARTIES For H.J. Meyers & Co., Inc. ("Claimant") appeared Jeffrey G. Regenstreif, Esq. of Relin, Goldstein & Crane, LLP, located in Rochester, New York. Harold S. Sokol ("Respondent") did not appear. CASE INFORMATION Claimant filed the Sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS. ING, rr 5) t? ft? f? n w/ (? [Hi L ? I i j. AWARD • nr{0 07 1998 NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Stephen J. Daniels and 97-06021 Name of Respondent J.C. Bradford & Co. William Gibson REPRESENTATION OF PARTIES Estate of Stephen J. Daniels ("Claimant") was represented by Michael H. Gertner, Esq., Ger

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-06020 Eugene M. Whitman, claimant vs. Marc Felice and J. W. Barclay & Co. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. For Respondents appeared Compliance Director, Theo S. Basis, New York, NY. DATE FILED: December 29, 1997 CASE SUMMARY: Claimant alleged that respondents disregarded his order to sell 1100 shares of Tellurian (TRL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Claimant Case Number 04-001 52 RBC Dain Rausher, Inc. Name of the Kfispnndent Hftflring Site- Richmond, Virginia Bernard A. Davey, in Nature of the Dispute: Member vs. Associated Person RFPRF.SFNTATTON OF P AKTTF.S Claimant, RBC Dain Rausher, Inc., hereinafter referred to as "Claimant", was represented by Johnathan M. Harris, Lindquist & Vennum, P.L.L.P., Minnea

I f • ' ,* - * Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00151 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Tampa, Florida Mark Mismas Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C., hereinafter referred to as "Claimant": Jonathan Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Vir