Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Rajendra D. Chhetri Case No. 00-03722 Name nf ft^pnn^nt Datek Online ing Site- Washington, D,C. PFPPFSFNTATTOTV OF Claimant Rajendra D. Chhetri ("Claimant") represented himself. Respondent, Datek Online ("Respondent"): G. Thomas Fleming III, Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P., Los Angeles, California. Statement of Claim filed on: Au

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Hemalatha Challa and Rami Reddy Mutyala Claimants v. NASD No. 93-03832 Olde Discount Corporation and Daniel Espino Respondents Representation For Claimant: Rami R. Mutyala, San Diego, California For Respondent: Lisa S. Fildes, Esq. of Olde Discount Corp,, Detroit, Michigan Case Information Statement of Claim filed: September 17, 1993 Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Essner 93-03827 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. rt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1993, Claimant Norman Essner, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc., through its

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants William K. Brewster n and Lexie Brewster and 93-03724 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. and Eddie Alexander REPRESENTATTON OF PARTIES William K. Brewster II and Lexie Brewster ("Claimants") were represented by Michael G. O'Neill, Esq. and Patricia A. O'Meara, Esq. of O'Neill, Snell, Banowsky

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants Sidney W. and Lillian A. Jennes 93-03697 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1993, Claimants Sidney & Lillian Jennes, through Evan Tanenbaum, Esq., alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.", through it's broker, Robe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David R. Court 93-03692 Name of Respondents J.W. Barclay & Co., Inc. Michael J. Wills Frederick J. Rochelle CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17, 1993, Claimant David R. Court, who appeared Pro Se, alleged that Respondent Fred Rochelle, who was a former

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Robert Graham Name of Respondent Quick and Reilly, Inc. 93-03681 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1993, Claimant James Robert Graham, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. violated Rule 405 by not knowing its customer, and

NASD Arbitration No. 93-03676 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Vailabh and Deepika Arora Trust Name of Respondent(s) Kennedy, Cabot & Co. REPRESENTATION For Claimant: Vailabh Arora, Fremont, California For Respondent: Mimi Park, Kennedy, Cabot & Co., San Francisco, California CASE INFORMATION Statement of Claim filed: October 25, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William R. Nelson 93-02900 Name of Respondents Quick & Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1993, Claimant William R. Nelson, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. failed to execute his March 31, 1993 open order to sell

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between ft n f P.I aim ant George C Schwelling Case No. 00-03721 Strategic Assets, Inc. Hearing Site: Washington, D.C. RFPttPSPTMTATTOM O^ PAFTIFS Claimant, George C. Schwelling, hereinafter referred to as "Claimant": Daniel A. Ball, Lewis, Goldberg & Ball, McLean, VA. Respondent, Strategic Assets, Inc. hereinafter referred to as "Respondent" did not appear at the