AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant G. Michael Curtis 97-02996 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: G. Michael Curtis ("Curtis") was represented by Brian E. Martin, Esq., of Bell, Boyd & Lloyd, located in Chicago, Illinois. For Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS") was represented by David Yeres, Esq. and D

NASD REGULATION, INC. -AWARD In the Matter of the Arbitration Between Name of Claimant Taysir Y. Habrumman NASD Arbitration No. 97-02994 Name of Respondents PaineWebber, Inc. William N. McCIintic, III REPRESENTATION Claimant Taysir T. Habrumman ("Claimant") represented himself . ."TV;nan?. T;;y: ••: > Respondents PaineWebber, Inc. ("PaineWebber") and William N. McCIintic, III V.ci-.poncenis W-JL ("McCIintic") were represented by Sandra D

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Michael A. Lovaglia Brigitte Barlow Lovaglia 97-02989 Name of Respondents Prudential Securities Inc. Albert J. Guzzi Robert Alexander Pandolfi Peter Anthony Ambrose REPRESENTATION For Claimants Michael A. and Brigitte Barlow Lovaglia ("Claimants") appeared Phillip Raibel, Esq. and Steven Samide, Esq. of the law offices Mintz & Gold located in N

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02986 Stephen Sullivan and Maureen Sullivan, claimants v. Yankee Financial Group and William Hefferson, respondents. ATTORNEYS: Claimants appeared pro se - Lake Carmel, NY. For Respondents appeared Richard Kresge - Bayside, NY. DATE FILED: 6/16/97 CASE SUMMARY: Claimants alleged misrepresentation in the switching of securities held in their IRA account

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC L CASE: 97-02984 Viola M. Vanderpool, claimant v. Onin R. Robbins, Jr., respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Tacoma, WA. For Respondent appeared Cynthia A. Doria, Esq. St. Louis, MO. DATE FILED: 6/16/97 CASE SUMMARY: Claimant alleged misrepresentation in the cost of a mutual fund. Claim Data Award Data Claim: 51,000.00 Award: S.

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 97-02978; Award Page 1 of 6 NASD Regulation, Inc., Award In the Matter of Arbitration Between Klaus Fischer, Claimant, and No. 97-02978 Merrill Lynch Pierce Fenner & Smith, Inc., Dean Witter Reynolds, Inc., Frank DeLeon, Jr., and Peter Butler, Respondents. REPRESENTATION OF PARTIES Claimant, Klaus Fischer ("Fischer") was represented by Randal C. Shaffer, Esquire, of

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Nicholas J, George, Claimant, v. No. 97-02977 American Express Financial Advisors Life Insurance Company, American Express Financial Corporation, R. Scott Coates, Respondents. REPRESENTATION OF PARTIES Claimant Nicholas J. George ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C, located in

NASD Regulation, Inc., FINAL ORDER In the Matter of Arbitration Between Kenneth Bryan, Claimant, and No. 97-02974 Everen Securities, Inc., Gerald R. Baker, Thomas E. McGivern, Mark Skertich and Steven Mlynski, Respondents. REPRESENTATION OF PARTIES Claimants, Kenneth A. Bryan ("Bryan") was represented by James Marlen, Esquire of the Law Offices of James Marlen located in Dallas, Texas. Respondents, Everen Securities, Inc. ("Everen,") Ger

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Fahnestock & Co. Inc. Case No. 00-02046 Name of Respondents Tucker Anthony Sutro & Co.,; Michael Boland, Patrick Myers, W. Jackson Leonard, George A. Sneed, John W. Carbaugh, and Laurie A. Kalinak Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, Fahnestock & Co., Inc. ("Fahnestock"): Eric J. Shames, Esq., Fahnestock & Co.,

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Evelyn L. Hankins, IRA v. Arbitration No. - 97-02970 Name of Respondents Malcolm Ian Campbell, Betty Ann Rubin, West America Securities Corporation REPRESENTATION For Claimant: Steve Buchwalter, Esq. Law Offices of Steven A. Buchwalter Encino, California For Respondent Malcolm Campbell: Gary L. Geb