N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFr.TTRTTTF,* HFAT.F.RS, FNC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Cowles, Saboi & Company, Inc. No. 92-01670 v. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Slice-ran Molly C. Wilson v. William L. Sabol REPRESENTATION For Claimant and Counter-Respondent: Carl J. Carlson, Esq., Talmadge and Cutler, Seattle, Washington For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant RoseMarie Gagliardi a/k/a Gardi 92-01659 Name of Respondents MONY Securities Corporation Aldo Verreili REPRESENTATION For Claimant: RoseMarie Gagliardi a/k/a Gardi ("Claimant"): Claimant represented herself. For Respondents: MONY Securities Corporation and Aldo Verrelii ("Respondents"): Terri Mclntyre of the law firm of Ber

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur B, Cone Name of Respondents Network 1 Financial Securities, Inc. Mike Ponder Herman Slutsky 92-01658 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 15, 1992, Claimant Arthur B. Cone, who appeared Pro Se, alleged that Respondent Herman Slutsky, while emplo

N.A.S.D. AWARD © NATIONAL ASSOCIATION OF SBCGRITIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) Yolanda and Annelienes Hoffmann ) Name of Resixtvient (s) ) Merrill Lynch Pierce Fenner & Smith Inc ) William Laudani ) Arbitration National Association of Securities Dealers, Inc. One East Sroward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 92-00514 FOOT Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tnt Matter of the Arbitration Between Name o f Claimant L*mont K. Williams 92-00512 Name of Respondents Prudential Securities Inc Frank G. Evans REPRESENTATION For Claimant: Dean A. Drew, Esq. of Dean & Drew. For Respondents, Prudential Securities, Inc. and Frank G. Evans: William Healy, Esq. of Prudential Securities, Inc. CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD < NXTICNMi ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between NsjDeofClaiinaiit No. 92-005H Name of P'»«p rffv teit8 John Galinsky For Claimant: Paul J. Sussman r Esq. of Chicago, Illinois. For Respccdents: M. David Hynan, Esq., Ridgewood, New Jersey. Statement of n**m filed: February 10, 1992. Claimant's Submission Agreement signed on: February 6 t 1992. Joint Statenent of Answer

1 Arbitration VT * „ ~ ,,,.«~ National Association of N.A.S.D. AWARD Securitfes Dealm, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS FAX (21 2) 85*4389 In the Matter of the Arbitration Between Name of Claimants Charles E. and Margaret A. Crow Deborah Chapman 92-00504 Name of Respondents Smith Barney Harris Upham & Co.. Inc. William C. Brown REPRESENTATION For Claimants Charles E. and Margaret A. Cr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Tom R. Taveggia Case No. 01-00877 SunTrust Banks, Inc. (d/b/a SunTrust Equitable Securities) Hearing Site- Richmond, VA ° Claimant Tom R. Taveggia ("Claimant") was represented by: James B. Thorsen, Esq. of the law firm of Thorsen & Scher, LLP, Richmond, VA. Respondent SunTrust Bank d/b/a SunTrust Equitable Securities, Inc. ("Respondent") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00~00673 Ke-Yu Xiong, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS Claimant Ke-Yu Xiong, appeared Pro Se, Friendswood, TX For Respondent Ameritrade, Inc. appeared in-house counsel, James A. Ricketts, Bellevue, NE DATE FILED: February 15, 2000 CASE SUMMARY: Claimant alleged respondent violated NASD margin rules, was negligent and did unfair and unreasonable business regarding th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Maribel Flores and 92-00500 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Scott Lewandowski REPRESENTATION OF PARTIES Claimant was represented by Kenneth M. Stillman, Esq. of Stillman and Bennett, P.C., Dallas, Texas. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by G