AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kirkpatrick, Pettis, Smith Polian, Inc. and 96-00746 Name of Respondent David T. Shettcrly REPRESENTATION OF PARTIES Kirkpatrick, Pettis, Smith Polian, Inc. (''Claimant") was represented by James M. Bausch, Esq., Cline, Williams, Wright, Johnson & Oldfather, Lincoln, Nebraska, David T. Shetterly ("Respondent") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Ann Eng 96-00742 Name of Respondent Quick & Reilly, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on February 20, 1996, claimant Patricia Ann Eng ("claimant"), who appeared Pro Se, alleged that respondent Quick & Reilly, Inc. ("Quick") failed to inform her about the current

AWARD NATIONAL ASSOCIATION O/ : * I X.'V CITIES DEALERS In the Kansas City, Missouri, alleged rh.it K^noi D. Giffoni '"(, : ;ff^ru '} wrongly corventd that Marv M Hailer :" Halier";, i:, dderiv account for invesrrnent savings v^r;-i Hirc represent;u!\c ' that she wrote account, ' In a claim filed with the National Association or" Securities Dealers, Inc. on February 16. 1946, Claimant Janice K. Nigh vVard ('Viaiman; " L acum- ;i

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Charles B. Alexander 96-00739 Name of Respondents Smith Barney, Inc. Peter B. Coley REPRESENTATION Claimant Charles B. Alexander ("Claimant") was represented by Brian C. Parker, Esq. of the law firm of Gebhardt & Smith, Baltimore, MD Respondents Smith Barney, Inc. ("Smith Barney") and Peter B. Coley ("Cole

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Bruce M. Brusavich and Deborah Brusavich v. Name of Respondents Arbitration No. 96-00738 Stratton Oakmont, Inc.; Jason R. Surface; James W. Garofalo, Jr.; Daniel M. Porush; Jordan Shamah; Andrew T. Greene; Paul F. Byrne: Matthias V. Tiffert: and Leonard Dunn REPRESENTATION For Claimant: For Respondent Stratton Oakrnont

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Paul C. Duffy 96-00730 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Richard M. Atwell REPRESENTATION g =-" "'"••' •- I For claimant Paul C. Duffy ("claimant") appeared Marian P. Abraham, Esq. of the law offices Deitzer, Moran & Abraham located in Boston, Massachusetts. For respondents Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill

r N.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Joseph & Ella Laquita Fernandas Name of Respondents Lazar Frederick & Company and Mare Van Sickler NASD Arbitration No.96-00729 REPRESENTATION For Claimants: For Respondent Lazar Frederick & Company: For Respondent Mare Van Sickler: Joseph and Ella Fernandez, in pro per No appearance Andrew M. Zange

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01150 First Union Securities, Inc., claimant vs. Michael R. Miller, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Renan I. Sugarman, Esq., Chicago, IL. For Respondent appeared Stephen M. Reinsel, Esq. of the firm Santoro & Reinsel, LLC, Pittsburgh, PA. DATE FILED: March 8, 2001 CASE SUMMARY: Claimant alleged respondent failed to re-pay them for an overdraw deficit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [a the Matter of the Arbitration Between Name of Claimant Glenn B. Crane 96-00728 Name nfjjespondents Merrill Lynch Pierce Fenner & Smith Inc Douglas C. Horn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1996, claimant Glenn B. Crane ("claimant 11 ), who appeared Pro Se, alleged that respondents Douglas C. Horn ("Horn")

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Thomas Jones, Claimant, and No. 96-00725 Foresters Equity Services Inc. Respondent. REPRESENTATION OF PARTIES For Claimant: Thomas Jones ("Jones") was represented by Steven J. Rotunno, Esq. of Kubasiak Cremieux Fylstra Reizen & Rotun, located in Chicago, Illinois. * For Respondent: Foresters Equity Services Incorporated ("Foresters Equity") was repr