N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05179 Marjorie J. Sable by POA William E. Bitzer, claimant vs. Smith Barney, Inc. and Laura R. Dennae, respondents. ATTORNEYS: Claimant appeared Pro Se through Power of Attorney, William E. Bitzer, North Braddock, PA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 30, 1997. CASE SUMMARY: Claimant alleged that

AWARD NASD Regulation, Inc. , In the Matter of the Arbitration Between Ross M. Langill, . I J • Claimant, v. No. 97-05176 ^PWJ ! w« . - — • —• -.-." Paul A. Frederick, and Frederick & Company, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Ross M. Langill ("Claimant") was represented by Paul R. Erickson, Esq. and Colleen M. Fleming, Esq. of Gutglass, Erickson & Bonville, S.C. located in Milwaukee, Wisconsin. Respondents Paul A

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between , Name of Claimant Joan B. King NASD CASE NO. 97-05175 Name of Respondents Smith Barney Inc. and Benjamin F. Troxell, IH REPRESENTATION For Claimant: Joan B. King, pro se, and J. David King. For Respondents: Ann Parry, Esq., First Vice President/Associate General Counsel of Smith Barney Inc. CASE INFORMATION Statement of Claim f

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02333 Lucille Soong, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Los Angeles, CA. For Respondent appeared in-house counsel Andrew Harger, Esq., Bellevue, NE. DATE FILED: June 5, 2000 CASE SUMMARY: Claimant alleged that respondent failed to properly execute a sell order of 500 shares of Corel stock. Claimant maintained that respondents first sold

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Rick Ramsey, (Claimant) vs. Dickinson & Co., Brian David Radican, Joe Richard Garza, William Jack Hawkins, William Coffey, Lawrence S. Spencer, T. Marshall Swartwood and Tom Swartwood, (Respondents). Case Number: 97-05165 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Rick Ramsey, hereinafter referred to as "Claimant": Stephen J. Schechter, Esq., Schechter &

AWARD NASD Regulation, Inc Joyce S. Brass, Trustee or Braas 1992 Trust Arbitration No. 97-05163 Name of Respondent f s Dain Bosworth Incorporated Joseph Kurimay REPRESENTATION For Claimant: Larry C. Johns, Esq., Las Vegas, Nevada For Respondents: Michael Lindsay, Esq. , Dorsey & Whitney LLP, Minneapolis, Minnesota CASE INFORMATION Statement of Claim filed: September 30, 1997 Claimant's Summary of Case and Arbitration Brief fi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Federal Deposit Insurance Corporation vs. 97-05141 Name of Respondent First Colorado Financial Services REPRESENTATION For Claimant Federal Deposit Insurance Corporation ("Claimant"): Roy Ahrens, Senior Counsel, Federal Deposit Insurance Corporation, Washington, D.C. For Respondent First Colorado Financial Services ("Respondent"): Catherine R. Chandler,

AWARD i i NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Joletta Griswold, Ind./TTES of the Joletta Griswold Trust v. Arbitration No. -97-05139 Name of Respondents Cruttenden Roth, Inc. and Stephen A. Cipres REPRESENTATION For Claimant: William R. Hart, Esq. Hart, King & Coldren Santa Ana, California For Respondents: John R. Loftus, Esq. Keesal, Young & Logan Long Beach, California CAS

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Raymond Pargulski & JacquelynPargulski 97-05134 Name of Respondent William Murphy REPRESENTATION For Claimants: Raymond Pargulski and Jacquelyn Pargulski ("Pargulski") were represented by Jeffrey R. Kulwin, Esq. of Kulwin & Associates, located in Chicago, Illinois, For Respondent: William Murphy ("Murphy") was represented by James J. Moylan, Esq. of Ar

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name Allen E. Abrams and 97-05133 Kansas City, Missouri Name of Respondents A.S. Goldmen & Company, Inc. Angelo Armenia Marco Carucci Anthony John Marchiano Stuart Edward Winkler REPRESENTATION OF PARTIES Allen E. Abrams ("Claimant") was represented by John J. Miller, Esq., John J. Miller, P.C., Overland Park, Kansas. A.S. Goldmen & Company, Inc. ("Respo