Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hazel Hopkins Case No. 99-02157 Names of Respondents Harry Nell First Lauderdale Securities, Inc. Michael B. Curran Jayne Reed Curran REPRESENTATION OF PARTIES For Claimant: Barbara L, Wolf, Esq. of Barbara L. Wolf, P.A., Ft. Lauderdale, FL. For Respondent Harry Nell: Dennis H, Nell, Yaphank, NY. For Respondent First Lauderdale Securi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Thomas W. Payne, Claimant / Counter-Respondent v. 99-02154 Des Moines, Iowa Lincoln National Life Insurance Company, and Lincoln Financial Advisors Corporation, Respondents / Counter-Claimants and Mary Ann Burris and Barbara Crosby, Respondents / Counter-Claimants REPRESENTATIQM OF PARTIES Thomas W. Payne ("Claimant") was represented by David L. Charles, Esq.,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Melanie S. Hamilton, Claimant v. Arrowhead Financial Group, Inc., Larry Sharp, Ernest Short, Pamela McAllister, James Estes and Robert Thomas Securities, Inc., Respondents. Case Number: 99-02150 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: David C. Hamilton Oak Hills, California For Respondent, Arrowhead Financial Group, Inc., Richard J. Bergstrom, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02147 Charles Schwab & Co., Inc., claimant vs. A.R. Fortune, Inc., respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Schwab"), Edmund V. Saucedo, Esq., Case Manager, Office of Corporate Counsel, Charles Schwab & Co., Inc., San Francisco, California. For Respondent A.R. Fortune ("Fortune"), Roland Breton, General Manager, A.R. Fortune, Inc., Fort

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02146 Olde Discount Corporation, claimant vs. Russell T. Keeton, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondent Russell T. Keeton ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant ma

N,A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02145 Olde Discount Corp., claimant vs. Edmond Masjedi, respondent. ATTORNEYS: For Claimant Olde Discount Corp. ("Claimant"), Aaron L. Kleid, Esq., attorney for Olde Discount Corp., Detroit, Michigan. Respondent Edmond Masjedi, did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant alleged that on September 23, 1998, Respo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. CMC. CASE: 99-02142 Sheri Ross-Carucci, claimant vs. Suretrade, Inc., respondent. ATTORNEYS: For Claimant Sheri Ross-Carucci ("Claimant"), appeared Marty Ross, Solana Beach, CA. For Respondent Suretrade, Inc. ("Respondent"), Yolande D. Black, Assistant Director of Compliance for Suretrade, Inc., New York, NY. DATE FILED: 5/10/1999 CASE SUMMARY: Claimant maintained that

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02141 Charles Schwab & Co., Inc., claimant vs. James J. Sedlar, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent James J. Sedlar ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 05/10/1999 CASE SUMMARY: Claimant maintained th

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 99-02140 Larry Kwiat, claimant vs. John Scaratnucich d/b/a Royce Investment Group, respondent. ATTORNEYS Claimant Larry Kwiat ("Claimant"), appeared Pro Se., Schoumburg, IL. For Respondent John Scaramucich ("Respondent"), Joseph F. Keenan, Esq., New York, NY. DATE FILED: May 10, 1999 CASE SUMMARY: Claimant alleged that Respondent falsified his margin agreement fo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03526 Charles Schwab & Company, Inc., Claimant vs. Dong Park, Respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm, Kane & Fischer, Ltd., Chicago, IL. Respondent did not respond to the Statement of Claim. DATE FILED: August 15, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to deposit additional funds into his account to meet the margi