AWARD NASD Regulation, Inc. CASE: 98-03773 Warfield Associates, Inc., claimant vs. National Financial Services Corporation, respondent. ATTORNEYS: Claimant Warfield Associates appeared Pro Se, through its President, Thomas R. Warfield, New York, NY For Respondent National Financial Services Corporation, appeared Matthew Farley, of the firm Shanley & Fisher, New York, NY DATE FILED: 10/12/98 CASE SUMMARY: Claimant alleged respondent delayed the t

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 98-03768 Name of Respondent Daniel John Deeb REPRESENTATION For Claimant: Lisa Catalano Tillem, Esq. and M. Major Khan, Esq. of PaineWebber, Inc., Weehawken, New Jersey. Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: October 9, 1998. Claimant's Submission Agreement signed on: October 9, 1998. Respond

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James G. McNeill and 98-03755 Denver, Colorado Name of Respondents WWK Investments, Inc. Harold O. Hexum REPRESENTATION OF PARTIES James G. McNeill ("Claimant") was represented by Charles W. Austin, Jr., Esq., C.W. Austin, P.C., Richmond, Virginia. WWK Investments, Inc. ("Respondent WWK") was represented by Robert H. Fortunate, Esq., Foster Mead

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark N. Kwilas, (Claimant) v. Track Data Securities, (Respondent) Case Number: 00-03227 v_. Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Mark N. Kwilas ("Kwilas"): Alan F. Block, Esq., Block & Landsman, Chicago, Illinois. Respondent Track Data Securities ('Track Data"): Marshall I. Baron, Esq., Legal Department of Track Data Securities, Boca R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Narne M of Claimant Myra Ann Tucker Case No. 98-03751 Name of Respondent American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES For Claimant: Anthony J. Durone, Esq. of Berkowitz, Feldmiller, Stanton, Brandt, Williams & Stueve, LLP, Kansas City, Missouri. ' For Respondent American Express Financial Advisors, Inc. ("AEFA"): Gary R. Irwin; Esq., Group

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Carl Cruz, Individually and as Trustee of the Cruz Family Trust dated February 5, 1993, Claimants v. United Pacific Securities, Inc. and John Naslund, Respondents Case Number: 98-03744 Hearing Site: Los Angeles, California For Claimants: Mitchell J. Albert, Esq. Albert & Will, LLP Torrance, California For Respondents: Sam Y. Edgerton, Esq. Nash And Edgerton, LLP Hermosa Be

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Kimberle Ann Coy NASD CASE NO. 98-03728 Names of Respondents Barren Chase Securities, Inc. and Carl Allen REPRESENTATION For Claimant: Sidney Werner, Esq. of Piper, Ludin, Howie & Werner, P.A., St. Petersburg, Florida. For Respondent Barren Chase Securities Inc. ("Barren Chase"): Brett A. Verona, Esq., Tampa, Florida. Respondent Carl Allen ("All

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanley A. Halka, Sr., (Claimant) vs. The Investment Center, Inc., Michael Zudonyi, A.J. Michaels & Co., Ltd., Pawel Tadeuz Mosakowski, First Southwest Companies, Sovereign Equity, and Jeff Supinsky, (Respondents) Case Number: 98-03712 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stanley A. Halka, Sr., hereinafter referred to as "Claimant": Mark F. Hein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03224 Carl Q. Christol, claimant vs. TD Waterhouse Investor Services, Inc. and Tim Dollison, respondents. ATTORNEYS: Claimant, Carl Q. Christol, appeared Pro Se, Pacific Palisades, CA. For Respondents, appeared in-house counsel Janis Campanella, Esq., New York, NY. DATE FILED: July 21, 2000 CASE SUMMARY: Claimant alleged that respondents failed to execute a surcharge order in a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant First Liberty Investment Group Name of Respondents Sheldon L. Wilson Anthony S. Almeida Peter Laurella Case No, 98-03697 Hearing Location: New York, NY REPRESENTATION OF PARTIES Claimant First Liberty Investment Group ("Claimant") was represented by Nicholas J. Guiliano, Attorney at Law, Philadelphia, PA, Respondent Sheldon L. Wilson ("Wilson")