Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carl Bernard Mack, Claimant vs. Ameritrade, Inc., Respondent. Case Number: 99-00943 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Carl Bernard Mack ("Mack"), hereinafter referred to as "Claimant": Carl Bernard Mack, Auburn, Washington Respondent, Ameritrade, Inc. ("Ameritrade*'), hereinafter referred to as "Respondent": James J. Vihstadt, Esq., Amer

NASD DISPUTE RESOLUTION AV/ARD NASD DISPUTE RESOLUTION. -INC. CASE:00-03366 David Lerner Associates, Inc., claimant vs. Themistocles Psomiadis, respondent. ATTORNEYS: For Claimant appeared Ruthann G, Niosi, Esq., New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: August 7, 2000 CASE SUMMARY: Claimant alleged that respondent breached his employment contract when he failed to repay a liquidated damage fee on monies given to hjm under

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Brian and Deborah Lynn Case No. 99-00941 Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Randi Sue Grossman REPRESENTATION OF PARTIES Claimants appeared pro se. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill") and Randi Sue Grossman ("Grossman"): Charles L. Henderson, Esq. of Merrill Lynch Pierce Fenner & Smith,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James H. Oliver and Nebraska Land & Live Stock, Inc., Claimants v. National Securities Corporation, The Boston Group, Michael Allocca, Jr., Robert A. Diminico, Ian E. Gilbey, Kye Hellmers, Dwight C. Southwick, Janeann B. Knapp, Eric S. Hutner, Joseph W. Donohue, Jr., Philip E. Steele, Kevin E. Scannell, Clifford F. Mastricola, Scott L. Mathis, and John R. Brady, Respondents Ca

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Harry A. Flathmann, Claimant v. J. Alexander Securities, Inc. Blaine Reilly, ffl, and James Alexander, Respondents. Case Number: 99-00939 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents . J. Alexander Securities, Inc. and James Alexander: CASE INFORMATION Ryan K. Bakhtiari, Esq. Aidikoff and Uhl Beverly Hills, Calif

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Lechman and Foresight Capital Management, Inc., Claimants v. Stanley C. Brooks and Brookstreet Securities Corporation, Respondents Case Number: 99-00938 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, CA For Respondents: H. Thomas Fehn, Esq. Fields, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Kokshanian, Claimant v. Spectrum Securities, Inc. and John D. Hashimoto, Respondents Case Number: 99-00932 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael C. Murphy, Esq. Law Offices of Michael C. Murphy Burbank, California CASE INFORMATION Statement of Claim filed: February 19, 1999 Claimant's Uniform Submission Agre

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jim Compton Case No. 99-00931 Names of Respondents Island Investment Services, Inc. Larry E. Wachtel REPRESENTATION OF PARTIES For Claimant Jim Compton ("Compton") hereinafter referred to as "Claimant": Lawrence L. Klayman, Esq. and Steven D. Toskes, Esq., Klayman and Lazarus, LLP, Boca Raton, Florida. For Respondents Island Investment Services,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name flf Claimant Ameritrade, Inc. Name of Respondent Douglas R. Colkitt NASD Case No. 99-00930 Hearing Location: Pittsburgh, PA REPRESENTATION OF PARTIES Claimant Ameritrade, Inc. ("Claimant"): Patrick B. Griffin, Esq., Kutak Rock, Omaha, Nebraska. Respondent Douglas R. Colkitt ("Respondent") did not appear. CASE INFORMATION Statement of Claim filed on: February 24

JAN 02 2001 Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Zahra Khiaban and Davoud Khiaban, Claimants v. First Allied Securities, Inc., Eric Baron and Anthony Galeotafiore, Respondents Case Number: 99-00929 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Paul W. Thomas & Associates — Carlsbad, California - '.i-i^ ',•'••.. f-._ ,'••-:• ^.