Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lana Harden, (Claimant) vs. First Allied Securities, Inc. and Robert Albert Skulman (Respondents). Case Number: 99-00056 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Lana Harden, ("Claimant"): Raymond Harris, Esq. And Susan L. Burnett: Conant, Whittenburg French & Schachter, Dallas, Texas. Respondent First Allied Securities, Inc. ("Respondent First Allie

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Maximilian Palena, Trustee of the Maximilian Palena Living Trust Case No. 99-00048 Hearing Site: Tampa, Florida Names of Respondents DLJdirect Inc. Joe L. Roby !)i ^ i REPRESENTATION OF PARTIES - (Jl ; aj|nant Maximilian Palena, Trustee of the Maximilian Palena Living Trust, hereinaft^r>refered 1 1 \ in < i • i ,< to as "Claimant", a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jo Minor, (Claimant) vs. Lew Lieberbaum & Co., Inc., Kirk Graham, and Ed Becker, (Respondents) Case Number: 99-00046 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Jo Minor, hereinafter referred to as "Claimant" appeared pro se. Respondent Kirk Graham ("Graham") appeared pro se. Respondent Ed Becker ("Becker") appeared pro se. Respondent Lew Lieberbaum & Co., In

N.A.S,D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00044 Rita and Dilip Doshi, claimants vs. Investors Associates, Inc. and Miguel Ocasio, respondents. ATTORNEYS: V For Claimants Rita and Dilip Doshi ("Claimants"), Douglas E. Lally, Esq., a sole practitioner, Jenkintown, Pennsylvania, Respondent Investors Associates, Inc. ("Investors Associates"), did not respond to the Statement of Claim. Respondent Migue

r Oa/09/2004 11:15 FAX NASD 1002/008 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen H. Thomas, (Claimant) vs. Dain Rauscher Incorporated. (Respondent). Ca&e Number: Hearing Site: 99-00032 Houston, Texas REPRESENTATION OF PARTIES Claimant, Stephen H. Thomas ("Thomas"), hereinafter referred to as "Claimant": Barry Abrams, Esq.. Abrams Scott & Bickley, L.L.P., Houston, Texas. Respondent, Dain Rauscher Inco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas A. Nayak Sep-IRA, Nicholas A. Nayak Custodian for David A. Nayak, Nicholas A. Nayak Custodian for Zachary S. Nayak, Nicholas A. Nayak, and Anjuli S. Nayak, MD, and Nayak Foundation Charitable Trust (Claimants) v. Fidelity Brokerage Services, Inc., n/k/a Fidelity Brokerage Services, LLC (Respondent) Case Number: 00-03252 Hearing Site: Chicago, Illinois REPRESENTATI

fEB-01-00 23-56 FROM: ID* PAGE 2/S NASD Regulation, Inc. In the Matter of the Arbitration Between Ferris* Baker Watts, Inc, Mayer Kanter Case No. 99-00029 Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant Ferris, Baker Wans, Inc. ("Cbunant") was represented by William A. Healy, Esq. of the law firm of Silbiger and Coleman, Westminster, Maiyland. Respondent Mayer Ranter ("Respondent") represented himself on the pleadin

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00028 Robert M. Brosko Sr. and Marie I. Brosko, claimants vs. Rodger O. Riney, Scottsdale Securities, Inc., and Edward S. Schlichting, respondents. ATTORNEYS: Claimants Robert M. Brosko Sr. and Marie I. Brosko appeared Pro Se., Clawson, MI. For Respondents Rodger O. Riney, Scottsdale Securities, Inc., and Edward S. Schlichting appeared, Ellis Hough, Compliance

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-0027 Robert and Maxine Teitler, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Robert and Maxine Teitler, appeared Pro Se., New York, NY. James A. Ricketts, Vice President of Ameritrade, Inc., appeared for Respondent, Bellevue, NE. DATE FILED: 01/04/99 CASE SUMMARY: Claimant alleged failure to process an on-line stop order for shares of

AWARD NASD Regulation, Inc. CASE: 99-00026 Leon Teitzman & Rose Teitzman, claimants vs. Eugene Cordano, respondent. ATTORNEYS: Claimant appeared Pro Se, Boynton Beach, FL. For Respondent appeared Michael H. Ference, Esq., of the firm, Lampert, Lampert & Ference, New York, NY. DATE FILED: January 4, 1999 CASE SUMMARY: Claimant alleged that respondent sold his 300 shares and 300 warrants of Aid Auto Stores, Inc., and purchased shares of Bancroft H