Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Bank, N.A., (successor-in-interest to First Security Van Kasper, Inc.) Claimant v. Phillip Keegan, Respondent Case Number: 01-05746 Hearing Site: San Francisco, California Nature of the Dispute: Non-Member (successor-in-interest to a Member Firm) v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald S. Kravitz, Esq. Liner Yankelevitz Sunshine & Rege

N.A.S D. AWARD NATIONAL .\SSOCIATION OF SECURITIES DEALERS In Ihe M.'irrer of the Arbitral ion Between Name of Claimant Philip R. Overhaugh ')4-028.W Name of Respondent R. Keith Malicki CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on July 21, 1994. L-laimam Philip R. Overbaugh ("claimant"), who appeared Pro Se, alleged that respondent R. Keith Malicki ("respondent") mishandled his Hibbard Brown brok

N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECURTTIES DEALERS In the Matter of [he Arbitration Between N^me of Claimant Edwin L. Fields, Tmstee 94-02836 Name of Respondents PaineWebber. Inc. Merit Capital Associates Manin S. Unger John Nuveen A Co. Incorporated CASE SUMMARY In a claun filed with the National Association of Securities Dealers, Inc. on July 21, 1994, Claimam Edwin L. Fields; who appeared pro se, aUeged that Respondents Pa

94-02834 N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Svcn W. Salumaa Names of Respondents Edward Becker, Camelot Investment Corporation, and John J. Fasano REPRESENTATION Claimant. Sven W. Salumaa was represented by Lev K. Martynuik, Esq. of Overiy, Spiker, Chappano A Wood, Dublin, Ohio. Respondent/Cross-Claimant/Third-Party Claimant. Edward Becker appeared pros

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Jack Docktor 93-02831 Name of Respondents Pmdential Securities. Inc. David Becker Robert Becker Richard Becker For Claimam Jack Docktor ("Claimant") appeared David Kessler. Esq., and Edward David, Esq., Counsellors at Law, located in Clifton, New Jersey. For Respondents Prudemial Securities, Inc., David Becker, Robert Becker and Richard Bec

NASD REGULATION. INC. AWARD In the Matter of the Arbitration Between Name of Claimant George Pentz Arlemom Ranch 94-02830 Name of Respondents Jordan Belfort Daniel Poiush Joseph Teseo Stratton Oakmont, Inc. REPRESENTATION For Claimants George Pentz ("Claimant") appeared Timothy J. Dennin, Esq., with law offices located in New York, New York. For Respondents Jordan Belfort ("Belfort") appeared Franklin Ormsten, Esq., of the fi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant John J. Farabella 94-02820 Name of Resnondent Paul Michael Furlong Claimant John J. Farabella ("Claimant") appeared pro se. Respondent Paul Michael Furlong ("Respondent") was represented by Michael Carey, Esq., New York, NY. CASE INFORMATION The Statement of Claim was filed July 20, 1994. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Carl C. Braun and Athelcroft Coip.. 94-02818 Diamam Investmem Corp., Diamant Asset Management, Inc., and David S. Diamant. REPRESENTATION For Claimants, Jeffrey Livingston, Esq., of the law iiim of Gilbert, Segatl and Young, LLP New York. NY. For Respondent, Christopher C. Fountain, Esq., Greenwich, CT. CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL JkSSOCZATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wame of glaimant Steven W. Haines 94-02815 Mame of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. For Clainant Steven Haines ("Clalnant"): Anthony J. Hon, Esq., Philadelphia, PA For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent"): Andrew Quigley, Esq., Office of General Counsel, Merrill Lynch, Pierce, Fenner & S

N,A,S,D, AWARP V- NATIONAL ASSOCIATION OF SECTJRmRS DEALERS. INC. In the matter of the Arbitration Between Name Of Claimam Alan Arday NASD Arbitration No.94-2814 Name Of Respondem Olde Discoum Corporation REPRESENTATION For Claunam: Sean T. O'Bryan, Esq., San Diego, Califomia For Respondem: Tunothy H. Howlen, Esq., Dickinson, Wright, Moon. Van Dusen & Freeman, Detroit, Michigan CASE INTORMATION Statemem of Claim filed: July 20, 1