N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Garnic 95-04979 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1995, Claimant ; .GeorgeM. Garnic ("Claimant"), who appeared Pro Se, alleged that Respondent Prudential Securities,' Inc. ("Respondent") recommended and

v ^ NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants David L. and Leslie C. Gura CASE NO. 95-04977 Name of Respondents L.C. Wegard & Co., Inc. John V. Adams VTR Capital, Inc. REPRESENTATION Claimants David L. and Leslie C. Gura ("Claimants"): Joseph Decker, Esq. of Joseph Decker & Associates, Pittsburgh, PA. Respondent L.C. Wegard & Co., Inc

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Dennis Makarewicz Travis W. Tuccillo Scott Praizner 95-04965 Names of Respondents IDS Life Insurance Company American Express Financial Advisors, Inc CONSOLIDATED WITH In the Matter of the Arbitration Between Name of Claimant Anthony Welch 96-01875 Names of Respondents IDS Life Insurance Company American Express Financial Advis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prime Charter, Ltd. Name of Respondent Henry Zimerman © National Association of Securities Dealers, Inc. All Rights Reserved 95-04963 S4SEVI MARY In a claim filed with the National Association of Securities Dealers, Inc. on October 20,1995, Claimant Prime Charter, Ltd. ("Prime"), through its representative and in-house

95-04962 €> National Association of Securities Dealers. ? n c. *~ 199A All Rights Reserved N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leo Nolan Name of Respondent Citicorp Securities Markets. Inc. REPRESENTATION For Claimant Leo Nolan ("claimant") appeared Scott Greathead, Esq. of the law firm of Owen & Davis located in New York, New York. F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant and Counter-Respondent The Chicago Corporation and 95-04961 Name of Respondent and Counter-Claimant Gary Hagstrom REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: The Chicago Corporation ("TCC") was represented by Francis X. Grossi, Jr., Esq. of Bates Meckler Bulger & Tilson, located in Chicago, Illinois For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phil L. and Pat Huddleston 95-04960 Name of Respondents Investors Associates, Inc. Tom Marinovich, Sr. James Cassidy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 20, 1995, Claimants Phil L. and Pat Huddleston ("Claimants"), who appeared Pro Se, alleged that Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01080 Charles Schwab & Co., Inc., claimant vs. Walter Ray Rhodes, respondent. ATTORNEYS: For Claimant appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged that respondent has failed to pay the debit balance in his margin account. The debit b

N.A.S.D. REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Ilya and Irina Boguslavsky V 95-04957 Name of Respondents Rickel & Associates, Inc. Andreas Zigouras Dmitry Aranovich Joseph Fedorko John C. Kawas, Jr. REPRESENTATION For Claimants, Ilya and Irina Boguslavsky, appeared Ilya Boguslavsky. (pro se) For Respondent, Rickel & Associates, Inc., appeared Vincent P. Sarnato

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants S. John Whitehill Name of Respondents RRZ Public Markets, Inc. Timothy S. Davis Charles Gomulka 95-04955 REPRESENTATION Claimant S. John Whitehill ("Claimant") was represented by Daniel M. Berger, Esq. and Amy Acheson, Esq., Berger Law Firm, Pittsburgh, PA. Respondent RRZ Public Markets, Inc