Award NASD Dispute Resolution In the Matter of the Arbitration Between; Doug P. Barnes, Doug P. Barnes & Jerri P. Barnes, as Joint Tenants with Rights of Survivorship and Barnes Living Trust, Claimants v. Pacific Continental Securities Corp., World Financial Group, Inc., James A. Allen, George F. Balmer, Craig J. Summa, Matthew N. Littauer, Frank R. Bell, Rocco A. Mongelli and Robert J. Wesolowski, Jr., Respondents Case Number: 01-05745 Hearing Site: San Fr

N.A.S.D. AWARD NATIONAL ASSOCLITION OF SECURITIES DEALERS in the Matter of the Arbitration Between NameofClaimantfs) Allen W. and Barbara J. Smith, Trustees 94-02807 Naa?9fPy?p9mi?ntfs) First Affiliated Securities CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994, Claimants, Allen W. and Barbara J. Smith, Trustees, appearing Pro Se, aUeged that Respondent First Affiliated Securities rece

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Aspen Capital Group, Inc. 94-02806 NameofResoondem Regional Operations Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994, Claimant Aspen Capital Group, Inc., through its representative Roben V. Sherman, alleged that Respondent Regional Operations Group, Inc. exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Maner uf the Arbitration Between Name of Claimant Victor H. Spencer 94-02804 Name of Respondents Dean Witter Reynolds, Inc. David Porkomy In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994. Claimant Victor H. Spencer, who appeared Pro Se, alleged that Respondents Dean Winer Reynolds, Inc. ("DWR") and David Poitomy ("Porkomy") misrepresen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In die Matter of the Arbitration Between Name of Claimants Albert and Lillian S. Odessey as Trustees fbr the Odessey Trust 94-02803 NameofResoondem Pacific Brokerage Services, Inc. CAS E wmvn In a claim filed witii the National Association of Securities Dealers, Inc. on July 19, 1994, Qaimants Albert and Lillian S. Odessey as Trustees for die Odessey Trust ("Qaimants"), dirough di

N.A.S.D. AWARD ^'A'^ONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbititition Between Xame of Claimant Ronald B. Ettinger 944)2802 M. Rimson A Co., Inc. Chris Girodet In a claim filed with the National Association of Securities Dealers, Inc. oo July 15, 1994, Claimant Ronald B. Ettinger, who appeared Pro Se, alleged that Respondems M. Rimson & Co., Inc. and Chris Giiodet sold 1,000 shaies of STET Group and purchased 700 shaies of

94-02798 N.A.S.D. AW.ARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Diana & Robert Hess Stacey Bartmes Walls and Thomas Walls Name of Resoondentfs) Prudential Securities Inc J.C. Bradford & Co. Henry Bildstein Hiqpnyyic^ATION For Claimants Diana and Robert Hess ("Hess"), Thomas Walls ("Walls") and Stacey Bartmes Walls: J. Pat Sadler, Esq., of Sadler A Associates, located in Atlanta, Georgia. F

N^.S.D. AXTARO NATIONAL ASSQCIA nON OF SF.CURimS Pf.AT.ERS, INC In the maner of the Arbitratioii Between Nflmenfriaimants NASD Arbitration Renate Johnson jf94-02788 Robert £. Johnson vs. NamenfReaponclenM Cruttenden & Co. Andre John Peschong RKPRESENTATION For Claunants: Morton Levy, Investors Advocates, Emeryville, Cali£oniia For Responderu Cruttenden & Co.: John R. Loftus, Esq., Keesal Young & Logan, Long Beach, Califomia F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Abbey Bulraiman Case No. 94^787 Name of Respondent W. B. McKee Securities,Inc. Claimant appeared Pro Se. For Respondent, W. B. McKee Securities, Inc., ("Respondent") John Gersten, in house counsel, located in Phoenix, Arizona. CASEINPORMATION Statementof Qaun filed: July 12. 1994. Claimam's Submission Agreement sign

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05744 Helen Strang, claimant vs. National Securities Corporation and Mike Kelley, respondents. ATTORNEYS: For Claimant appeared David R. Ebel, Esq., of the firm Holland & Knight, Seattle, WA. For Respondent National Securities Corporation appeared Kristin Gaerttner, Seattle, WA Respondent Mike Kelley did not respond to the Statement of Claim. DATE FILED: October 26, 2001 CASE SUMMARY: Cl