N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Qaimantfsl Donald Boland 95-04952 Name of Respondent(s) M. Rimson & Co. Inc. Alex Shindman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1995 Claimant Donald Boland, who appeared Pro Se, alleged that Respondent Alex Shindman of the Respondent firm M. Rimson & Co. Inc. misrepre

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Delmar and Jean Pittman, Harriet Busdicker, Janice Bonneville, Marlene D. Staples, and Dean and Rita M. Schuster, Claimants, V. No, 95-04949 Craig-Hallum, Inc., and Hamilton Investments, Inc., "a-:oRrf Assectatsoa of ecurities Dcahr;. Inc. Respondents. Claimants Delmar and Jean Pittman, Harriet Busdicker, Janice Bonneville, Ma

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Katie H. Barr 9504948 Name of Respondent ,-, x , ^ . A r © National Association o i .,,,.,.„ . Securities Dealers.lnc. ' Jj^Michael Bergquist All Rights Reserve*: REPRESENTATION Claimant Katie H. Barr ("Claimant ") represented herself. Respondent Michael Bergquist ("Respondent ") rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Temple 95-04943 -^Barron chase securities, Inc. Paul D. Medrano The Dean & Associates Group, Inc. For Claimant: Ken Harris, Esq. of the law firm of Brett Alan Verona, Tampa, Florida. r f ; c^E6f.Respondents: Etigene Michael Kennedy^PiAt-^ortlJrtiderdalei Florida ; - c.-v. ^ CASE INFORMATION tof CM^fifed^©^oBet 18^1995.*' -' ^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Marilyn H. Montuori 95-04938 Name of Respondents Citicorp Investment Services Scott Marsden Stephen Victor CASESUMMARy En a claim filed with the National Association of Securities Deajere,; Inc. on October 18J •]< &SXDtaih4arit ! Marilyn H. Montuori ("Claimant"), who appeared Pro Se^all^ged that she heW ant^c^iittf wto

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Michael Isaeff. IRA 95-04934 Name of Respondents ^National Association Dean Witter Reynolds Inc. Bounties Dealers, i^ Stacy Cohn AU Rights Reserve, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1995, Claimant Bruce Michael Isaeff, IRA ("Claimant"), who appea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Glen R. Breach 95-04931 "= N*ionri Association of -Swjruies Uc;i;'-t"s. inc. Smith Barney Inc. Roger Vlach CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1995jtGIaimant- Glen R. Breach ("Claimant"), who appeared Pro Se, alleged that Respondent Smith Barney Shearson,

BY: 11-17-98 ; 9:23AM ;NASD ARBITRATION DPT^ 12122G85165;# 2/19 AWARD NASD REGULATION. INC., OPFirK OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Glen Shannon, IRA v. Arbitration No. 95-04928 Name of Respondent Titan Value Equities Group, Inc. REPRESENTATION OF PARTIES Glen Shannon, TRA ("Claimant") was represented by J Leo Federrnan, JLF Associates, San Diego, California. Titan Value Equities Gr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01077 Ivan Steinhardt, claimant vs. James L. Stoneham and J.W. Barclay & Co., Inc. respondents. ATTORNEYS: For Claimant appeared Robert H. Weiss, Esq., Jericho, NY. Respondent James L. Stoneham appeared Pro Se, New York, NY. For Respondent J. W. Barclay & Co., Inc. appeared Charles Lake, compliance officer, Northport, NY. DATE FILED: March 5, 2001 CASE SUMMARY: Claimant alleged

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Asian Atri and Julieta Atri, Claimants, v. Case Number 95-04924 Shearson Lehman Hutton, Inc. (a/k/a Shearson Lehman Brothers, Inc. and n/k/a Smith Barney, Inc.), and Richard J. Settle, Respondents. REPRESENTATION OF PARTIES Claimants Asian Atri and Julieta Atri were represented by Maria Estella Perez, Esquire, Sole Practitioner, of Brown