Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Harold Stoll, (Claimant) vs. Monroe Parker Securities, John Clancy, Louis DiFruscio, Rick Levitov, Bryan Herman, and Alan Lipsky, (Respondents). Case Number: 98-01112 Hearing Site: San Francisco, California, REPRESENTATION OF PARTIES Harold Stoll hereinafter referred to as "Claimant": Elizabeth Lowery, Esq., Fields, Fehn & Sherwin, Los Angeles, California. Louis DiFruscio represen

AWARD NASD Regulation, Inc. CASE: 98-01110 Kenneth Chancy, claimant vs. PaineWebber, Inc., respondent ATTORNEYS: Claimant Kenneth Chaney appeared Pro Se., Allen Park, MI For respondent PaineWebber, Inc., appeared in-house counsel, Lisa Catalano Tillem, Esq., Weehawken, NJ DATE FILED: 03/24/1998 CASE SUMMARY: Claimant alleged that his three equity funds along with his Intermediate Bond Fund were improperly transferred to his American Cash Managem

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02960 David Feldhammer, Claimant vs. Dean Witter Reynolds, Inc. Respondent. ATTORNEYS: For Claimant, David Feldhammer, ("Claimant"), appeared Robert M. Roth of the firm R. M. Roth & Associates, Houston, TX. Respondent, Dean Witter Reynolds, Inc., ("Respondent"), appeared through its in-house counsel, Ronald E. Woods, Esq., San Francisco, CA. DATE FILED: July 13, 2000 CASE SUMMA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Luis H. Santoni and Valerie K. Santoni, Claimants v. Salomon Smith Barney, Inc., Chong Nam, and Frank Carbone, Respondents Case Number: 00-00327 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Luis H. Santoni and Valerie K. Santoni, hereinafter referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. F

AWARD NASD REGULATION, INC. In the/matter of the Arbitration Between Name of Claimants Bobby Delozier and Jennifer Delozier v. Arbitration No. 98-01109 Name of Respondents Titan/Value Equities Group, Inc. and James T. Riner REPRESENTATION For Claimants: H. Thomas Fehn, Esq. . Elizabeth Lowery, Esq. Fields, Fehn & Shenvin Los Angeles, California For Respondent Titan/Value Equities Group, Inc.: Michael Abbot, Esq. John Erickson

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Fine Equities, Inc.. (Claimant) vs. Gilford Securities. Inc., (Respondent) Case Number: 98-01104 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Fine Equities, Inc., hereinafter referred to as "Claimant'": Michael I. Allen. Esq Shapiro Fonnan & Allen, LLP, New York, NY. "Respondent, Gilford Securities, Inc., hereinafter referred to as "Respondent": Norman S. Lawi, E

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stella Miller, Claimant v. Texas Capita] Securities, Inc., Wexford Clearing Services, Corp., Vincent Barone, Thomas F. Buckley, David G. Jamail, Jerry E. Anderson, Donald J. Tallman, Patrick J. Smetek, Thomas R. Reckling, Michael K. McGinnis, Albert Sydney Bowers, Jody Lamothe, Donald Lester Katz, Harold W. Gordon, and Jeffrey S. Szur, Respondents. Case Number: 98-01103 Hearing Site: Los

' :' J0N.11.2001 £:55PM NflSD BOCft NO.156 P.Z Award NASD Regulation, Inc. In the Matter of the Arbitration Between n Carol Taveraa Case No, 98-01097 Names df Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James "WHsoa -" * REPRESENTATION OF PARTIES For Claimant Carol Taveraa (Tavema*): William R. Klein. Esq. of William R. Klein, P.A.,, Saraspia, Florida. -.- i\ '.-- '< . :.. For Respondents Merrill Lynch, Pierce, Fenner

1:2- l-afl : 4-:OOR\l : CLJiT ECV]-\A:>D ARBi'l RATION DPT : # a AWARD NASD Regulation, lac, In the mauer of the Arbitration Between Zjons Investment Securities, inc. v. 98-01096 Name Luke RKPRRSENTATinN Tor CJumunU John B, Lindsay, Esq., Ca-llister Nebeker & McCullough, Salt Lake City, Utah. For Respondent: Uifcc Perry did not appear. TASK The Statement of Claim was filed on or about March 17, Claimant's Submission Agreement sig

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David E. Loomis, IRA, David E. Loomis, and Nancy Loomis (Claimants) vs. Jonathan Winston, Christopher Paulsen, James Pellizzi, Andrew Neal Weber, First United Equities Corporation, Douglas Keith Traynor, David Hirsch, Steven Cohen, and Jason Alan Cohen. Case Number: 98-01094 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants David E. Loomis, IRA, David E. Loomis, and