NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. , ^ . , ^ In the Hatter or the Arbitration Between Craig Ehlenberger Claimant. AWARD vs . NASD 489-02824 OTRA Clearing, Inc. Respondent - SIIMMARY OF TSSTTRS Claimant alleged Respondent failed to pay commissions due from his employment with Respondent. Respondent denied the allegation and alleged in a counterclaim that Claimant had engaged in unauthorized transactions in a client acco

N.A.S.D. AWARD Region, Volume . Number. NATIONAL ASSOCIATICW OF SECURITIES DEALERS In the tfatter of the Arbitration BetweerT" Name of Claimantfs^ PaineWettoer, Inc. Name of ResponHftnt-f s ] Nontan L. Chapa 89-02818 CASE SUMMARY In a Statement of Claim filed with the NASD on October 12, 1989, Claimant PaineWetber Incorporatied alleged that Respondent signed a prcmissory note and received an advance of $50,000.00 in connection with his

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Ivey, Claimant v. UBS PaineWebber Inc. n/k/a UBS Financial Services Inc., Fred Raia, and Thomas G. Rosendahl, Respondent Case Number: 02-04479 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Tomas Finnegan Ryan, Esq. Law Offices of Tomas Firmegan Ryan Portland, Oregon For Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimantfs) Thcnas L. Rhodes 89-02748 Name of Res Brian ZilJoe Dan ^felster3 Linda Masters L.F. Thonpson & Ccnpany Voluiw__:^ Number Year^ CASE SIIMMARY In a Statement of Claim filed with the NASD on October 2, 1989, Claimant ThotBS L. Rhodes alleged that Respondenta breached certain agreements for ccnf^ensation

NAS.D. ANARD LIATICJ«4L ASSOdancN OP SECUKITIES DEALEBS In the Matter of the AzbltxatlCQ Between Name of daimant (s) Roberta J. Praxak. 89-02712 Cppeobeiaer & Go., Inc. John Phillips Charles Fatqr Elizabeth Rockwell RBEBBSBKmrCH For daijiant: Sdserta J. Prazak vgas represented by Harxy L. Durant, Esq. ^ry\ Sandal A. Kauffinan, Esq. of Houssiere & Durant, Houstcn, Texas. For Respcodentst CppeDheimer & Go., Inc., Jdba Phillips, Oaa

Arbitration N.A.S.D. M-IAPD lATICN OF SECURITIES DEAIfiBS In the Matter of the Arbitration Between Name of Claimants PaineWdsber, Inc. & Sheldon Qiaiken #89-02793 NaUonal Astociallon ot S«curltlet Deaiers, Inc. NASD Financial Center 33 Whitehall Stree': New York. New York 10004 Name of I^Sl Deirdre Ver^les #89-02633 Name of Claimant Sean Mesz)cat Name of Respondent Deirdre Venables For Claimants, PaineWebber, In

'^^'^^'^^ N.A.S.D. AWARD National A„ocl.tlon ot Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS ' 33 Whitehall Street New York, New Vork 10004 In the Matter of the Arbitration Between Nai^e Qt Claiirant William P. Nicoletti vs Case # 89-02600 AWARD Name of Respondent Shearson Lehman Hutton & E.F. Hutton CASE SOMMARY Claimant, William P. Nicoletti, a fonner senior vice president of Responden

Region_L ^ J Volume,^. Number Year. 90 In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Thomas F. Hunt Respondent AWARD CASE NO. 89-02545 SUW1ARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 13, 1989. Claimant alleged Respondent breached the terms of a promissory note he signed when he entered Claimant's employ. Respondent asserted

N.A.S.D. AWARD ^^ATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between tiams of Claijmnt(.^| hterrill Lynch, Pierce, Fenner & Smith 89-02527 Name of Regpnnd^ni-(«) Otra Clearing, Inc. "his case was filed with the National Association of Securities Dealers, Inc. {"l^D") on Septanter 11, 1989. Claimant alleged that Respondent opened a Corporate Cash Account with Merrill Lynch for the trading of government securities

VolumeNinb< 0» NATIONAL ASSOCIATION OF SECURITL'S DEALERS In the Matter of tie Arbitratic;; Between Name of Claimantfs) Chades E. Norquist 89-02521 Name of Regp^ndent (.e) Peterson Financial Corporation Robert S.C. Peterson Claire Peterson "^V?' Covington Financial Corporation ^ i Northern Lakes Financial Corporation Caae SuoBBzy ARWTRAnON^WAGO j diaries E. Norquist ( Claiirant ^ alleged that Peterson Financial Corporation, Rob