N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between NameofClaimamrsl David Baik 93-04314 Smith Baniey Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers on October 19, 1993, Claimam David Baric, who appeared Pro Se, alleged tiut Respondem South Baniey Inc., dmmgh its roistered leptesentative recommended an investmem in Amerificst Ftedeial Savings Bank stock, which

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitiation Between William W. Giaylin 95-05897 Bull & Bear 5eciiritie&, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc., on December 12,1995, claimant William W. Oraylln ("claimant"), who appeared Pro Se, alleged that respondent Bull & Bear Securities, Inc., ("respondent" or "Bull & Bear") were negligent in allowing him to purch

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis H. Alton and L. H. Alton & Company, Claimants v. James W. Fuller, Respondent Case Number: 03-06942 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person and Member v. Associated Person REPRESENTATION OF PARTIES For Claimants: Lewis H. Alton In Propria Persona Phoenix, California For Respondent: Fred S. Konigsberg, Esq. Law Offices of Fred

NASDR AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitnition Gilford Securities Inc. #95-06009 vs. NameofRegpomieni Rowsmith Ltd. RFPRFJSFMTATrOM For Claimant: Joel Levinson, Esq., Gilford Securities, New York, New York, and James Ahlstedt, Gilford Securities, San Frandaco, California For Respondent: No appearance. rASF TNPORMATrON Statement of Claim filed: December 22.1995 Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between of the riaimanf pse Niirriter; 03-06937 John Hendler Name nf tfip Ket^onHentg Hrartng Site- Washington, DC Citigroup Global Markets, Inc. ffk/a Salomon Smith Barney, Inc. and Jack Grubman Nature of the Dispute: Customer vs. Member and Associated Person. RFPRPSPNTATTON OF PAETTF.S Claimant, John Hendler "Claimant", was represented by Adam S. Doner, Esq., Ennis, Gordon &,

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eric J. Brief Case No. 00-01499 Name of Respondent Sanford C. Bernstein & Co., Inc For Eric J. Brief ("Brief"), hereinafter referred to as "Claimant": Michael S. Taaffe s Esq. and Jennifer Compton, Esq. of Abel, Baird, Russell, Collier, Pitchford & Gordon, Sarasota, Florida. For Sanford C. Bernstein & Co., Inc. ("Bernstein")- hereinafter referred to as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis ?. Drozdalc Jean H. Drozdak vs. NCNB Securities, Inc. Claimant(B) Respondent(8) AHABD 88-00594 The Arbitrator, Andrew Reegen, Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on February 8, 1988 and April 7,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between ^ Kay L3fnn Emmons Claimant (s} vs. Nationwide Life Insurance Co. and Dorothy Shoemaker Re8pondent(s) AHABD 88-00078 The Arbitrator, Andrew Reegen, Esq., having been selected to review and determine a matter in controversy between the eUaove* mentioned Claimant and Respondents, set fort^ in a submission to arbitration signed by the parties on January 8

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Susan Byers vs. Names of Respondents Robert W. Baird & Co., Incorporated and Anthony Ralph Mampieri Case Number: 03-06936 Hearing Site: Nashville, Tennessee NATURE OF CASE Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES Susan Byers ("Byers") hereinafter referred to as "Claimant," was represented by Emerson

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean V^itter Reynolds, Inc. Claimant(s) vs. Walter E. Kostich Respondent(s) NOTICE OF ARBITRATION AWARD 88-00482 The Arbitrator, Andrew Reegen, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the Claimant in January 1988 and not by the Re