Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber, Inc. (Claimant) vs. Brian K. Harrod. (Respondent). Case Number: 98-01844 Hearing Site: Dallas. Texas REPRESENTATION OF PARTIES Claimant, PaineWebber ("Claimant 11 ): M. Major Khan, Assistant General Counsel, Corporate Vice President, PaineWebber, Inc.. Weehawken, NiJ. Respondent, Brian K. Harrod ("Respondent"): represented himself. CASE INFORMATION Stateme

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Eunice West, as Executrix of the, Merrill Lynch, Pierce, Fenner & Smith Estate of Elizabeth Kamborian, v. and William Callender and John Gursoy Case No. 00-03053 REPRESENTATION OF PARTIES Claimant the Estate of Elizabeth Kamborian ("Claimant" or "Kamborian") was represented by Susan F. Drogm, Esq. of Boston, MA Respondents Merrill Lynch, Pierce, Fenner & Smith an

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Aqcess Technologies, Inc. Name of Respondents Del Mar Financial Services, Inc. and Kevin C. Dills Arbitration No. 98-01843 REPRESENTATION For Claimant: For Respondents: Jon Prichard Aqcess Technologies, Inc. Orange, California Did Not Appear CASE INFORMATION Statement of Claim filed: April 23, 1998 Claimant's Submission Agreement

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John F, Lackey and 98-01842 Name of Respondents Bear Stearns Securities Corp., Salvador Tacher, Elias Tacher, Steven Vomea, Adam Drew Levy, Marc Alan Luxenberg, and Bruce Guarino Name of Third Party Claimant Steven Vornea and Name of Third Party Respondent Robert V. Seropian REPRESENTATION OF PARTIES John F. Lackey ("Clai

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Raymond Ghods Mike Sumon Parvin Pazel Bakhshshi Case No. 98-01839 Names of Respondents Preferred Securities Group, Inc.. Southern Financial Group, Inc. Theodore Kaprel Malkasian Jafar Amirahmadi REPRESENTATION OF PARTIES < For Raymond Ghods ("Ghods") Mike Sumon ("Sumon") and Parvin Fazel Bakhshshi ("Bakhshshi"), hereinafter collectivel

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01829 Matthew Osayaren, claimant vs. Damascus Lee, Curtis Dunn and Meyers Pollack Robbins, Inc., respondents. ATTORNEYS: Claimant Matthew Osayaren appeared Pro Se., Las Vegas, Nevada. Respondent Damascus Lee ("Lee") did not respond to the Statement of Claim. Respondent Curtis Dunn ("Dunn"), appeared Pro Se., Brooklyn, New York. Respondent Meyers Pollock Ro

AWARD NASD Regulation, Inc. CASE: 98-01828 Dean Witter Reynolds, Inc., claimant vs. Kelly Kleinsasser, respondent. ATTORNEYS: For claimant appeared Michael A. Kraft, Esq. - New York, NY Respondent Kelly Kleinsasser appeared Pro Se - Papillion, NE. DATE FILED: 5/19/98 CASE SUMMARY: Claimant alleged failure to honor employee promissory note. Claim Data Award Data Claim: $5,162.48 Award: $5,162.48 Interest: $646.47 Interest: $646.47 Atty Fe

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., (Claimant) vs. Anita and Ramesh Nanwani, (Respondents). Case Number: 98-01825 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Charles Schwab & Co., Inc., "Claimant": Linda A. Gallagher, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondents Anita and Ramesh Nanwani "Respondents" appeared pro se. CASE INFORMATION S

•MAR. 3.2000 3:32PM NO. 3438 P. 2 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Claude A. Budzil NASD CASE NO. 98*01820 J.C. Bradford & Co. and Paul Jagacinski • ffii For Claimant: Craig M. Rappel, Esq. of Rappel A Rappd, P. A., Vero Beach, Florida. For Respondents: Linda Gibbons Willis, Esq., Associate General Counsel of J.C. Bradford & Co., Nashville, Tennessee. CASE INFORMATION Statement

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Essex National Securities, Inc., Annuity Agency of New York and the Bank of New York (Claimants) vs. Sergio Toscano, North Ridge Securities Corp. and North Shore Capital Management Corp. (Respondents) Case Number: 98-01818 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Essex National Securities, Inc. ("Essex"), Annuity Agency of New York (the "Agency") and Th