Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul DePatie, Claimant v. Ameritrade, Inc., Respondent Case Number: 00-05422 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondent: Andrew J. Harger, Esq. Ameritrade, Inc. Bellevue, Nebraksa CASE INFORMATION Statement of Claim filed: Decembe

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Marian Bellama 96-00863 Name of Respondent ^Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION Claimant Marian Bellama ("Claimant") represented herself. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") was represented by Robert E. Goldberg, Vice President and Senior Counsel, Merrill L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bennett Schwartz 96-00859 Stuart. Coleman & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1996, Claimant Bennett Schwartz ("Claimant"), who appeared Pro Se, alleged that Respondent Stuart, Coleman & Co., Inc. ("Respondent"), through its agent Ms. Janet Fleischman,

N.A.S.D. AWARD < 4 i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant JohnC. White 96-00858 Name of Respondents National Discount Brokers Everett Lang Seth Rosen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1996, Claimant John C. White ("Claimant"), who appeared Pro Se, alleged that Respondents National Discount Brokers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gregory M. Holtzapple 96-00855 Name of Respondents Greenway Capital Corp. Peter Charles Restivo David Lavender CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on February 27, 1996, Claimant Gregory M. Holtzapple ("Claimant"), who appeared Pro Se, alleged that Respondents Greenway C

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Lelia Dabney Gregory Trust 96-00852 Name of Respondents Robert Todd Financial Corp. Jeffrey Leech REPRESENTATION For Claimant Lelia Dabney Gregory Trust ("Claimant" or "Gregory Trust") appeared Robert H. McKnight Esq. of the law firm England & McKnight located in Atlanta, Georgia. Respondent Robert Todd Financial Corp. ("RTF") did not appear For Respondent Je

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the ) Arbitration between ) ) RICHARD A. NADZIEJA, ) NASD ARBITRATION ) NO. 96-00838 Claimant, ) ) vs . ) AWARD DAIN BOSWORTH INCORPORATED, ) G National Association of HARRY S. HELLMAN and ) Securities Dealers, me. CHARLES BONG KWON KIM, ) ) All Rights Reserves Respondents. ) SUMMARY OF THE ISSUES The Claimant, filing a claim in proper person, alleged that he

VA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS %-00837 Name of Respondent Mark Wavne Wiklund CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 26, 1996. Claimant Associated Securities Corporation ("ASC") and. who appeared through its representative and in-house counsel Neal E. Nakagiri, Esq.. alleged that respondent Mark Wayne Wiklund ("Respondent") failed to pay fees owed to ASC. Claimant

f v- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leon E. & Marilyn I. Whiteman 96-00835 Name of Respondent SunBank & Trust Company n/ky'a SunTrust Bank REPRESENTATION The Claimants appeared pro se. For Respondent: Joseph Hern, Esq., in-house counsel at SunTrust Bank. CASE INFORMATION Statement of Claim filed: February 26, 1996. Claimants' Submission Agreemen

NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Carol H. DeGolT Name of Respondents Brauvin Securities, Inc. NASD Regulation. Inc. Arbitration No. 96-00833 For Claimants: REPRESENTATION Alary E. Piibe, Esq. Santa Monica. California For Respondents: John M. Murphy. Esq. Baker & McKenzie Chicago, Illinois CASE INFORMATION Statement of Claim filed: Cl