NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between | PaineWebber, Inc. Claimant(s) vs. John T. and Joann Barrett Respondent(s} CASE SUMMARY Claiiitant(s) PaineWebber, Inc. alleged that Respondent(s) John T. and Joann Barrett requested the sale of certain securities for their account and subsequently refused to provide a signed stock power, forcing Claimant to cover the resulting short position at a loss. Respo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kenneth Muller and 01-05500 Dallas, Texas Name of Respondent TD Waterhouse Investor Securities, Inc. REPRESENTATION OF PARTIES Kenneth Muller ("Claimant") appeared pro se. TD Waterhouse Investor Securities, Inc. ("Respondent") was represented by William Redford, Esq., Dallas, TX. CASE INFORMATION The Statement of Claim was filed on

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert W. McMichael Case No. 97-02594 Names of Respondents State Capital Markets Corp. Nicholas LoBasso Robert Sumpter - REPRESENTATION OF PARTIES Claimant Roben W. McMichael ("McMichael"). hereinafter refened to as ''Claimant", appeared pro se. Respondent State Capital Markets Corp. ("State Capital") did not appear. For ResQpndem Nicholas LoBasso ("

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lorenzo Abascal Josephina R DE Abascal Lorenzo A Rovira Josephina Abascal Rovira Names of Respondents Morgan Stanley Dean Witter, Inc. Christopher McCray Eric Regan Case Number: 01-05499 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Lorenzo Abascal, Josephina R DE Abascal, Lorenzo A Rovira, and Josephina Aba

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Karen Soike and Names of Respondent First Union Securities, Inc. Wells Fargo Investments LLC Richard A. Stachon Bryan L. Johnson, and Michael N. Kane, II _ Case Number: 01-05497 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Karen Soike ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa

.WVARD V.\SI') RL.'uiil;itiitn. Inc. (itikc o! DiMpiiii.* Roohiiinn !n I!K' Nt:il\T .il iln.- Xrhiiialinn HOIWCL-II \':mU' nl't ^liiniinlsi I iuiii \h\il\:\ M\\.\ .M< .-l\ in lUilk-l. husknij .nul uitc. .ir.ii a.-i I t•ll^:l.'o•, ni"ihc \!clvi:i '\i. IUilu-1 kcMicjblc l.:\'nj^ friiM. Inilii Riiccl LiiiJ {. her li!vn.i\. ninthLT.nid diiu:jhii.T. ]);i\ii1 llivn;i\ N.inif >»!' Kcspoink'p.l.-; Kohur 1 iii;i!K'i;il Cnrp.. ("iiiv.i: *t •\-;s

NASD AWARD November 30, 1995 NATIONAL ASSOCIATION OF SECURITIES DEALERS, L\C. In the Matter of the Arbitration Between: Fred Knadler, Claimant V. Case No. 95-02384 Olde Discount Corporation and Christopher £. Chen, Respondents. REPRESENTATION OF PARTIES Fred Knadler ("Claimant") was represented by Robert D. Mitchell, Esq., of Robert D. Mitchell, P.C, Scottsdale, Arizona. Oldc Discount Corporation and Christopher E. Chen ("Respondents"

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: Name nf Claimant MARVIN D. BRIGGS. Case No. 95-02793 Mame of Respondent TRANSAMERICA HNANCIAL RESOURCES. INC. REPRESENTATION For Claimant, Marvin D. Briggs (^'Briggs"): Kalju NekvasiJ. Esq. of Goodman &, Nekvasii, P.A.. Safety Harbor, Florida. For Respondent, Transamerica Financial Resources, Inc. (''Transamerica"):- Michael G. Rhodes, Esq

Amended Stipulated Award NASD Dispute Resolution, Inc. in the Maiicr of the Arbilration Between: Timolhy and Irene Iwahashi, Claimants v. Larry Heffcz and WestAm, Respondents Case Number: 99-03591 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimanl: For Resptindent: For Respondent: Anthony M. Gnglcse, Esq. 2845 Van Ness Avenue #601 San Francisco. CA 94109 West America Securities Corp. ("WestAm") Elizabeth Lo

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc., (Claimant) vs. UBS PaineWebber Inc. and Martin J. Donovan, (Respondents) Case Number: 01-05495 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc.. hereinafter referred to as "Claimant": Christopher P. Stief, Esq., Rubin & Associates, P.C., Paoli, PA. Respondent, UB