N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Matthew Elliot 90-02777 Kochcapital Corp. Russel Koch For Claimant Matthew Elliot: Claimant appeared Pro Se. For Respondents Kochcapital Corp. and Russel Koch: Respondent did not appear. CftSH ggPORMRTIOM Statement of Claim filed on: October 26, 1990. Claimant's Submission Agreement signed on: October 1, 1990. Amended Statement of Claim f

NATIONAL'ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Dale Johnson Respondent Case #90-02562 AWARD CASE SUMMARY PaineWebber, Inc., represented "by their counsel, Edw»rd G. Werner, Esq., in a claim filed with che National Association of Securities Dealers, Inc. on September 12, 1990, alleged that Respondent Dale Johnson failed to pay for securities purchased at his

NATIC:."- ASSOCIATION OF SECURITIES DEALERS, INC. VANDERBILT SECVP.ITIES, INC AND BONNIE KANTROWITZ CLAIMANTS V. PETER RYAN AND KICHAEL WOLOSHIN RESPONDENTS I AHARD *88-027»3 Consolidated with Case #88-02723 CASE SUMMARY The Statement Claim was filed on August 30, 1988. claimant, Vanderbilt Securities, Inc. and Bonnie Kantrowitz alleged that Respondents, Peter Ryan and Michael Woloshin made several purchases of stock, while the

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04808 Daniel H. William, claimant vs. Smith Barney, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Newtonville, MA. For respondent appeared Ann Parry, Esq. - New York, NY. DATE FILED: 10/2/97 CASE SUMMARY: Claimant alleged mark-up in treasury bond trade and breach of fiduciary duty. Claim Data Award Data : $.00: Punitiv

01/17/02 WED 06=48 FAX NASD REGULATION ©009 AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Slavic Investment Corporation and Slavic Mutual Funds Management Corporation and 97-04807 Omaha, Nebraska Ameritrade, Inc. n/k/a Advanced Clearing. Inc. REPRESENTATION OF Slavic Investment Corporation ("SIC") and Slavic Mutual Funds Management Corporation ("Slavic Group"), hereinafter collectively referred to a

JUN.29.1998 3 :06PM NflSD REGULATION FL N0 . 634 NASD REGULATION, INC, AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morris Zuckerman Case No. 97-04806 Names of Respondents San Clemente Securities Inc. Peter Liouinis REPRESENTATION OF PARTIES For Claimant; William F. Murphy, Esq., Miami, Florida. For Respondent San Clements Securities Inc. ("San Clemente*}: Bradley S. Pau

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant John A. Hoffman and Esther M. Hoffman Trust v. Name of Respondents Bruce D. Oakes. Eisner Securities, Inc., National Financial Services Corp., and Name of Third-Party Claimants Bruce D, Oakes and Eisner Securities, Inc. v. Name of Third-Party Respondent David Paul Abernethv Arbitration No. 97-04805 REPRESENTATION For Claimant: Fo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02295 Kathryn M. Dailey and Erik B. Michelsen, claimants vs. Bill Ross and Salomon Smith Barney, Inc., respondents. ATTORNEYS: Claimants, Kathryn M. Dailey and Erik B. Michelsen, appeared Pro Se through Kathryn M. Dailey, Bend, OR. For Respondents appeared Ann Parry, Esq., First Vice President and Associate General Counsel, New York, NY. DATE FILED: June 1, 2000 CASE SUMMAR

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Jeanne M. Carey, Francis J. Carey, and David L. Carey v. Name of Respondents Richard H. Jenrette, Robert D. Tombolini, Todd N. Kanter, John Cleary, James Geraghty, Christopher Herlihy, Karen Prentice, Donaldson, Lufkin & Jenrette Securities Corporation. John Steele Chalsty, Carl Braun Menges, Eric Thomas Miller, Richard Scott Pechter, Theodore Ping Shen, A

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between ' Name of Claimant Todd J. Volz and 97-04792 Name of Respondent ETrade Securities, Inc. REPRESENTATION OF PARTIES Todd J. Volz ("Claimant") was represented by Geoffrey P. Damon, Esq., Cincinnati, Ohio. E*Trade Securities, Inc. ("Respondent") was represented by Ekwan E. Rhow, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California. CASE INFORMATION The Statem