NASD RKG! LAilON, INC AWARD In the Matter of the Arbitration Fietween Name of Claimant Richard C. Frank Case No. 97-00017 vs Name of Respondents A.G. Edwards & Sons, Inc. Roger Stevenson REPRESENTATION For Claimant Richard C, Frank ("Claimant") appeared Jeffrey A. Sellers, tsq.. of the firm Silverberg. YoocL Sellers & McGorry located IK Buffalo, New York. For Respondents A.G. Edwards & Sons. Inc. ("A.G. Hd\vards") and Roger Stevenson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Madhusudan Sen as Power of Attorney for Pradeep Srivastava, (Claimant) vs. W.R. Lazard, Laidlaw & Luther Incorporated and Bernard K. Addo, (Respondents) Case Number: 97-00014 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Madhusudan Sen ("Sen") as Power of Attorney for Pradeep Srivastava ("Srivastava"), hereinafter referred to as "Claimant": Martin L. Fei

'4' N.A,SJ>. AWARD r ""' NATIC^AL ASSOCIATION OF SECURTHESDEAURS into Matter of the ArbtotbaBewwa AtJdwwTCHOBakovic 9*00008 Redremmt InvegOpent Group Angaa Financial Services Inc. Sigfl*! Securities Inc. _ ForOiimaijt Jtf^P;C61cmaluEs(i^ ^ Ttop ftBodokm, P.A., Ft Lautedale, Florida. ForRMpondttit AngoflFinandal Service* Inc. ("Aragon t *): Scott L. Warfinan, Esq., ofthelawfinnof Bloom (fcWttflnan, PA,, Miami, Florida, For

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Jonathan Orban, Claimant, vs. 97-00006 Norcross Securities, Inc., a/k/a Norcross & Company, Respondent. REPRESENTATION OF PARTIES Jonathan Orban ("Claimant") was represented by John W. Clark, Jr., Esq., Dallas, Texas. Norcross Securities, Inc., a/k/a Norcross & Company ("Respondent") was represented by Robert L. Dossey, Esq., Phoenix, Arizon

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant AZ Investment Fund and 97-00004 Phoenix, Arizona Name of Respondents First Associated Securities Group Inc. Round Hill Securities Inc. Brent Pulver REPRESENTATION OF PARTIES AZ Investment Fund ("Claimant") was represented by Michael Salcido, Esq., Renaud, Cook & Drury, P.A., Phoenix, Arizona. First Associated Securities Group Inc. ("Respondent

Award 96-05847 Page Two June: 12 19*57 - Two Sessions October 7. 1997 - Two Sessions October 8. 1997 - Two Sessions October 9. 1997 - Two Sessions October 22. 1997 - Two Sessions November 19. 1997 - Two Sessions November 24, 1997 - Two Sessions The hearing was conducted at the offices of NASD Regulation, Inc. located in New York. New York. CASE SUMMARY Claimant alleged that he was hired by Respondent Creditanstalt on October 3. 1994 as

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Burbidge, Claimant vs. Thomas Tedeschi, Daniel Otoya, Steven Vornea and Salvador Tacher, Respondents, Case Number: 96-05840 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimant, David Burbidge, hereinafter referred to as "Claimant": Stephen B. Mitchell, Esq., Burbidge & Mitchell, Salt Lake City, Utah Respondent, Thomas Tedeschi, hereinafter referred to as "T

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01418 Ameritrade, Inc., Claimant vs. Robert M. Frye, Respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE, Respondent did not submit a response to the Statement of Claim. DATE FILED: March 21, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his margin account. Claim Data Award Data Clai

jflN.2i.iyys ii=irm AWARD NASD Regulation, Inc. la the Matter of tbe Arbitration Between Jama EL Ndta 96-05837 Investan Asacxiates, Zoc. -. . , Global Eqoidct Group Inc. ''" '•' t ' v Lawrence Joseph Pcnna Aktaandr Shvatts MicLad Hear Obzirt Damiano Salvatore Corad VadimZdtsex StCVdlZ. Wayne Charie* Wjchert Martin Charies Wegard Paul EUwood Focsythe, lU Tanai'a AlexN. ChenpaMiov Donna Made SHvennan

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 96-05826 Florence Weiss and Edwin Weiss, claimants vs. Harvey Rabiner, Edward Jim Mulcahey and Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondents appeared Ann Parry, Esq., in-house counsel/Smith Barney, Inc., New York, NY. DATE FILED: December 30, 1996 CASE SUMMARY: Claimant alleged that the information he