N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04242 Andrew Perkins, claimant v. Glenn Sanoff. respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se - Washington, D.C. For Respondents Respondent appeared Pro Se - New York, NY DATE FILED: 9/23/96 CASE SUMMARY: Claimant alleged unsuitability, negligence and unauthorized trading of stock. Claim Data Award Data Claim: $5,184.25 Award

AWARD NASD Regulation, Inc. Office of Dispute Resoiution In the Matter of the Arbitration Between Ronald Dimitri ro: Claimant, V. No. 96-04252 Fechtor, Detwiler & Co., Inc., Michael Bergan, and Steve Frank Respondents. Claimant Ronald Diniitri ("Claimant") appeared pro se. Respondents Fechtor, Detwiler & Co., Inc. ("FDC"), Michael Bergan ("Bergan"), and Steve Frank ("Frank") (collectively referred to as "Respondents") were represen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johannes M. Versluis (Claimant) v. Quick & Reilly, Inc. (Respondent) Case Number: 02-04523 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Johannes M. Versluis hereinafter referred to as "Claimant" appeared pro se. Respondent Quick & Reilly, Inc., hereinafter referred to as "Respondent": Matthew S. Diggins, Esq. and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nairn* Layman Venson Milton and Donna Dunsey H. Douglas Watts Christina Watts Charles and Dana Waters Joe Gery, Jr. Thomas C. Richardson Carl Smith Harold Anderson Arthur Gaucher Michael Novio H.R. and Judith Butker John Joh, ffl John Maru's David Williamson William Gates Jeffrey Posey Michael Smith John Kellum Lingo C

[.A.:; I'. AWAHP fiATiMriAi. A:i^;( X • I AT rON "i- sncirp ri'TE;; DEALERS In I h'-> "atter of th» Arbitral ion P^'t:wt?on NailSLof ClaljTant(s) "rtM R. MRwinan 9()-norjO,'. NaiiiH? of Respondents SI ^ 'jan J^taniev ^ 'lo., Tnr. I'laijTBnt alleged that Respondent failed tn execute his request that the Respjndents tender shares of cannon stock in Apoilo, send him a stock f eri.i f u-ate for Stratus and close his account. Claimant alleged

Award NASD Dispute Resolution In the MattCT of the Arbitration Between: Wilham Adin and Stephanie Adin Susan L. Hemy, James D. Stoeger; Michael Harold Hoary; BSI Participations Trust; and BSI Fmancial Services, Inc. ConsoUdated with: 00-02683 Max Sklower c: 00-03028 Bluebomiet Securities, hic; Michael Harold Henry; Susan L. Henry; Paul Ray Wimberly; and Wimberly Investments >Jamp. nf Ms Klaneckey Pag^MnmW 00-04025 Susan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David S. Charlaff (Claimant) v. First Union Securities, Inc. (Respondent) and First Union Securities, Inc. (Claimant) v. David S. Charlaff (Respondent) Case Number: 01-04739 (consolidated w/ 01-05691) Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, David S. Charlaff ("Charlaff

Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Orlandes R, Shuemake, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-03933) Mario D. Guillermo, individually and as Trustee of the Guillermo Family Trust, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-04090) Reginald A. Rashid and Belinda Rashid, Claimants v. Morgan Stanley DW Inc., David J.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rob^ C. Jacobsen & Carol S. Jacobsen and 01-03841 (cons, w/ 01-03842) Phoenix, Arizona Name of Respondents Charles Schwab & Co., liic. Alejandro D. Whitfield Douglas B. Parker Tony D. Andreotti Nature of the Dispute: Customer vs. Member and Associated Persons. REPRKSENTATION OF PARTIES Robert C. Jacobsen & Carol S. Jacobsen ("Claimants") were re

Award NASD Dispute Resolation In the Matter of the Arbitration Between: M^mP nf thf- riaimants William Adin and Stephanie Adin Susan L. Heniy, James D. Stoeger; Michael Harold Henry, BSI Participations Trust; and BSI Financial S^vices, Inc. Consolidated with: MamP nf the, riaimant Max Sklower ]sjpmp nf thp RftgpnnHftnfg Bluebomiet Securities, Inc.; Michael Harold Hemy; Susan L. Hemy; Paul Ray Wimberly; and Wimberly Investments