N.A.S.D. REGULATION AWARD •NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Renate E. Knapp & Phillip W. Knapp, Jr. 95-00949 Name of Respondents First Albany Corporation Jeffrey A. West Timothy A. Meigher REPRESENTATION For Claimants Renate E. Knapp and Phillip W. Knapp, Jr. ("Claimants") appeared Robert Fitzpatrick, Esq. located in Albany, New York. For Respondents First Albany Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Phillip A. Jack 95-00942 Name of Respondent Dickinson & Co, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant Philip A. Jack, who appeared Pro Se, alleged that Respondent Dickinson & Co., purchased securities for his account without authorization. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-00937 Name of Respondent Travel Bane, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1995, Claimant, PaineWebber, Inc., through its representative and in-house counsel, Joseph F. Generelli, Esq., located in Weehawken, NJ, alleged that Respondent,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated and 95-00935 Name of Respondent Ernest D. Olson REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by James L. Komie, Esq. of Schuyler, Roche & Zwirner located in Chicago, IL. Ernest D, Olson ("Respondent") was represented by Daniel P. Johnson, Esq., Sole Practitioner, locat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-04582 Keith A. Covington and Kathleen A. Covington, JTTEN, claimants vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Keith A. Covington, El Segundo, CA. For Respondent appeared John L. Erickson, Jr., Esq. of the firm Jones, Bell, Abbott, Fleming & Fitzgerald LLP, Los Angeles, CA. DATE FILED: October 16, 2000 CASE SUMMARY: Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mehdi Kazemi 95-00911 Name of Respondents Joseph Roberts & Co., Inc. Steve Toscano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant, Mehdi Kazemi, who appeared Pro Se, alleged that Respondents, Steve Toscano ("Toscano") and Joseph Roberts & Co., Inc., act

r N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael O. Mullins 95-00909 Name of Respondents South Richmond Securities, Inc. Rickel and Associates, Inc. Jeff Atamanuk CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Michael O. Mullins, who appeared Pro Se, alleged that Respondent Jeff At

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William E. and Yuvonne D. Cornell, JTWROS 95-00907 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. William A. Eichinger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimants William E. and Yuvonne D. Connell, JTWROS, who appeared Pro Se, alle

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Robert T. Lempert 95-00906 Name of Respondent John A. Dellamura CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1995, Claimant Robert T. Lempert ("Claimant"), who appeared Pro Se, alleged that Respondent John A. Dellamura ("Respondent"), on January 17, 1995 he instructed Respondent to sell the securities which he h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clayton L. Rudolph, Deborah Wong and the Clayton Rudolph-Henry Philcox Partnership, Claimants, v. Case No. 95-00903 Chatfield Dean & Co., Inc. and Arthur D. Pryor Respondents. REPRESENTATION Claimants were represented by Nicholas P. lavarone, Esq. and Adam K. Hollander, Esq. of Bellows and Bellows located in Chicago, Illinois. Respo