N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01799 Zion Sutton, claimant vs. E*Trade Securities, Inc., respondents. ATTORNEYS: Claimant, Zion Sutton, appeared Pro Se., Flushing, NY. Respondent, E*Trade Securities, Inc., appeared through Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 04/19/99 CASE SUMMARY: Claimant alleged that respondent, E*Trade Securities, Inc., closed clai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Clauss v. Radcliffe St. Aubyn Bent Case Number: 99-1792 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, Robert Clauss ("Clauss"), hereinafter referred to as "Claimant": pro se. Respondent, Radcliffe St. Aubyn Bent ("Bent"), hereinafter referred to as "Respondent": did not appear. Respondent was represented by Eric Hutner, Esq.,Trachtenberg& Rodes, LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edwin Broffman and Delia Broffman, Claimants v. PaineWebber, Inc., and Leonard B. Csiszar, Respondents Case Number: 99-01791 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Valerie F, Horn, Esq. Law Offices of Valerie F. Horn Beverly Hills, California For Respondents: Lisa K. Donahue, Esq. PaineWebber, Inc. Los Angeles, Califo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fabian Basabe Case No. 99-01790 Names of Respondents J.W. Barclay &Co., Inc. John Anthony Bruno Anton Michael Brill REPRESENTATION OF PARTIES For Fabian Basabe ("Basabe 11 ), hereinafter referred to as "Claimant": Mark F. Raymond, Esq. of Tew Cardenas Rebak Kellogg Lehman Demaria & Tague, L.L.P., Miami, FL. For J.W. Barclay & Co., In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp r.lflimants r^e Number 99-01788 Taloreed Badmus BDS Technologies, Inc. Name nf the T?psponftent< ; Hearing Sitfi! Philadelphia, PA First Liberty Investment Group Chris Clem Steven Dapuzzo Anthony Giordano Christian L. Eminente a/k/a Luciano Eminente James O'Connor Harold Stice Mike Wallace REPRESENTATION OF PARTIES Claimants, Taloreed Badmu

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Stuart C. Sloame NASD Case No. 99-01787 Hearing Location: Washington, D.C. Name of Respondent Salomon Smith Barney Inc. REPRESENTATION OF PARTIES Claimant Stuart C. Sloame ("Claimant"): Claimant is an attorney, who was joined by his wife , Esq. Respondent Salomon Smith Barney, Inc. ("Respondent"): Joanne M. Chormanski, Esq. of Salomon Smith Barney, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jimi Epps Case No. 00-03493 Name of Respondent Ameritrade, Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Jimi Epps ("Epps"), hereinafter referred to as "Claimant": Mark F. Raymond, Esq. and Walter J. Mathews, Esq., Tew Cardenas Rebak Kellogg Lehman DeMaria Tague Raymond & Levine, L.L.P., Miami, Florida and Alex James Moore, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01784 Richard D. Powers, claimant vs. First Montauk Securities Corp., and Raymond Levitzky, respondents. ATTORNEYS: Claimant Richard D. Powers appeared Pro Se., Ramsey, New York. For Respondents First Montauk Securities Corp. ("First Montauk"), and Raymond Levitsky ("Levitzky"), Lloyd Claremen, Esq., Attorney At Law, New York, New York. DATE FILED: 4/16/19

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Corna Securities, Inc. and 99-01775 Columbus, Ohio Name of Respondent Jerry L. Plaster REPRESENTATION OF PARTIES Corna Securities, Inc. ("Claimant") was represented by Phillip D. Lehmkuhl, Esq., Mount Vernon, Ohio. Jerry L. Plaster ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about April 1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Harold Slote, Claimant v. Drake Capital Securities, Inc., Gruntal & Co., L.L.C., Laidlaw Equities, Inc., Benjamin Lupu, Robert Delaplain, John A. Tommasini, Paul Bagley, Joseph Di Lillo, John Mazza, Sally Case, and Sandra Ison, Respondents Case Number: 99-01774 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Drake Ca