Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael C. Golowski, (Claimant) vs. Morgan Stanley Dean Witter Inc. and Martin Hopkins, (Respondents) Case Number 01-06790 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael C. Golowski, hereinafter referred to as "Claimant", appeared pro se. Respondents, Morgan Stanley Dean Witter Inc. ("MSDW") and Martin Hopkins ("Hopkins"), hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-0678S Donald KJevit and Marianne Kicvit JTWROS Names of the Respondents Hearing Sue: Tiirnpa, FL Emerson Bennett & Associates, Inc. Patrick Leahy Paul Leahy Nature of the Dispute: Customer vs. .Member and Associated Person. REPRESENTATION OF PARTIES For Donald Kievit and Marianne Kievit JTWROS. hereinafter collectively referred

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06788 Donald Kievit and Marianne Kievit JTWROS Names of the Respondents Hearing Site: Tampa, FL Emerson Bennett & Associates, Inc. Patrick Leahy Paul Leahy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald Kievit and Marianne Kievit JTWROS, hereinafter collectively ref

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06782 Jerry Lanzalotto, claimant vs. David Lerner Associates, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Hamburg, NJ. For Respondents appeared Ruthann G. Niosi, Esq., of the firm Law Offices of Ruthann G. Niosi, Esq., P.C., New York, NY. DATE FILED: December 14, 2001. CASE SUMMARY: Claimant alleged that respondent recommended the purchase of Apple Residential Incom

Award NASD Dispute Resolution In the Matter of the Consolidated Arbitration Case Number 01-06779 Paulson Investment Company, Inc., Claimant v. Spirit Partners, L.P. and Tech-Trade Capital LLC, Respondents (Case Number: 01-06779) Consolidated with Spirit Partners, L.P. and Tech-Trade Capital LLC, Claimants v. Paulson Capital Corporation and Paulson Investment Company, Inc., Respondents (Case Number: 02-00079) Hearing Site: Portland, Oregon Nature of

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Pablo Garza & Josephine Garza and 01-06767 Denver, Colorado Name of Respondents Elite Investments, LLC, and Ron G. Skaley REPRESENTATION OF PARTIES Pablo & Josephine Garza ("Claimants") were represented by Olivia Garza, Greeley, Colorado. Elite Investments, LLC ("Elite Investments") and Ron G. Skaley ("Skaley") were represented by S. Scott Lasher

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Plaimant William D. Starnes Name of the Respondents Jesse L. Watts and J.J.B. Billiard, W.L. Lyons, Inc. P.asft Number 01-06764 Hearing Site; Charlotte, North Carolina RFPRF.SF.NTATION OF PARTTF.S Claimant William D. Starnes, hereinafter referred to as "Claimant", was represented by Jeffery J. Davis and Robert Browers, Moore & Van Allen, PLLC, Charlotte,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02422 Wall Street Access, Claimant vs. Stephen U. Okwuadigbo, Respondent. ATTORNEYS: For Claimant Denis P. Kelleher, Esq., Kelleher Leone & Schwartz, LLP, New York, NY. Respondent appeared Pro Se, Wood Bridge, VA. DATE FILED: June 7, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay a debit balance created in the account from a May 1998 unsolicited trade. Claim

NASD Dispute Resolution Arbitration No. 01-06763 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elsa Heisel Sule ("Claimant") vs. McDonald Investments, Inc., Daniel J. Kanabroski, M.T. Barker, and Mark Todd Barker ("Respondents") Case Number: 01-06763 Hearing Site: Cincinatti, Ohio REPRESENTATION OF PARTIES Claimant, Elsa Heisel Sule ("Claimant"): John G. Cobey, Esq., Cohen, Todd, Kite & Stanford, L

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Orlando Hernandez Santa Hernandez Names of the Respondents Merrill Lynch Pierce, Fenner & Smith Incorporated Osvaldo Machado Case Number: 01-06755 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Orlando Hernandez and Santa Hernandez, hereinafter referred to as "Claimants": Andrew S. Brenner, Esq., Zack Kosnitzky, P.A., Miami, Florida and Scott