Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kent G. McKernon, (Claimant) vs. Galaxy Funds and Fleet Bank of Massachusetts, NA, (Respondents) Case Number: 99-04980 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Kent G. McKernon, hereinafter referred to as "Claimant": David B. Avigdor, Esq., a sole practitioner, Hadley, NY. Respondents, Galaxy Funds ("Galaxy") and Fleet Bank of Massachusetts, NA ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce G. Heines, (Claimant) vs. Essex Corporation, Essex National Securities, Inc., Metro Agency, Inc., Frederick S. Nicholas, Craig McCulloch, Greenpoint Bank, Ramesh Shah, Lawrence Dorris, and Bharat Bhatt, (Respondents) Case Number: 99-04979 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bruce G. Heines, hereinafter referred to as "Claimant": Thomas Pi

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ruth and Robert Mechigian, and The Mechigian Family Limited Partnership and 99-04972 Detroit, Michigan OLDE Discount Corporation Joseph Drew Sheeran REPRESENTATION OF PARTIES Ruth and Robert Mechigian, and The Mechigian Family Limited Partnership ("Claimants") were represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. H&R Block Financial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Michael R. Levitsky RS Environmental Services, Inc. Names of Respondents Renaissance Financial Securities Corp. Adam J. Cohen Richard Mika Perry Raphan Case No. 99-04971 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Michael R. Levitsky ("Levitsky") and RS Environmental Services, Inc. ("RS") hereinafter collectivel

N.A.5.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04967 American Froiiteer Financial Corporation f/k/a RAF Financial Corp., claimant vs. Flint Harner. respondent. ATTORNEYS: For Claimant American Fronteer Financial Corporation f/k/a RAF Financial Corp., ("Claimant"). Thomas D. Birge, Birge & Minckley, P.C., Denver, CO. Respondent Flint Harnei did not respond to the Statement of Claim. DATE FILED: 11/03/19

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Emily Kelly v. TradeStar Investments, Incorporated Case Number: 00-05532 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Emily Kelley hereinafter collectively referred to as "Claimant": Represented herself. Respondent TradeStar Investments Incorporated hereinafter referred to as " Respondent": Angela Saccomandi, Esq. of Fiserv Securities, Inc., Philadel

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Martin, Claimant vs. James Fuller, Alexander Lushtak and Morgan Fuller Capital Group, LLC, Respondents Case Number: 99-04965 Hearing Site: San Francisco, California For Claimant: REPRESENTATION OF PARTIES Philip J. Terry, Esq. Terry & Terry Petaluma, California For Respondents James Fuller and Morgan Fuller Capital Group, LLC For Respondent Alexand

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Louis and Hilda Friedland Case No. 99-04964 Names of Respondents Securities Service Network, Inc. Steven Schaefer Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Louis and Hilda Friedland, hereinafter referred to as "Claimants": Stephen D. Spivey, P.A., Ocala, Florida. For Respondent Securities Service Network, Inc. ("SSN"): Chr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04962 Charles Schwab & Co., Inc., claimant vs. Mark S. Johnson, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Mauricio S. Beugelmans, in-house counsel for Charles Schwab & Co., Inc., San Francisco, California. Respondent Mark S. Johnson ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 11/03/1999 CASE SUM

1 NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. MC. CASE: 99-04956 Asmik Yurdumyan, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS; For Claimant appeared Maro Burunsuzyan, Esq., Glendale, CA. For Respondent appeared Mark T. Drooks, Esq. of the firm Bird, Marella, Boxer & Wolpert, Los Angeles, CA. DATE FILED: November 3, 1999 CASE SUMMARY: Claimant alleged that respondent improperly sold her stock for failure to satisfy