N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between MameofClaimante Roland T. Smith & Dorothy A. Smith Geldermaim Securities, Inc. 94-00939 For Claimams: Roland T. Smith and Donithy A. Smitii ("Smiths"), were represented at die hearing by Roland T. Smith. For Respondem: Geldemuinn Securities, Inc. ("Geldermann") was represented by Karen J. Wentzcll, Esq. of Schaumburg, Illinois. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Dwight Erlick 94-00888 NamenfRfisnnndem Olde Discount Corporation CASE SUMMARY Til » ClZ^iii riicu Wiui ihc T'^:.^tnMli /..>.>^-ciaii'.< ii ol ocvMDtiea Dcai«;ia. inc. i»i iVialL'ii 5, l9?4. Claimant Dwight lirlick. who apr''^^^'^ P< o Se, alleged that Respondent Olde Discount rTomoraticn fail-,sU tj ioU^^ X.i insi-^^* • iih 1,00

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between ]S[Aipe,Q££laim»it Marshall Klieman 94-00741 Consolidated Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Febmary 25, 1994, Claimant Marshall Klieman, who appeared Pro Se, alleged that on December 2, 1993, Claimant began licensing procedures with Respondent Consolidated Investment Se

94-00634 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimam Jerry C. Lindsey NamenfResnondem Edward D. Jones & Co. RRPRFJaeNTATION For Gaimant: Jerry C. Lindsey ("Lindsey") appeared pro se. For Respondem: Edward D. Jones & Co. ("Jones") was represented by Cynthia A. Doria, Esq. of Edward D. Jones & Co., Maryland Heights, Missouri. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUUTIES DEALERS In the Matter of Aii>itration Between M. Rjmson & Company. Inc. V. Case » 94-02338 Camrint Investment Com. RCTRESENTATION M. Rimson and Company, Inc. appeared pro se. Catnelot Investment Corp. did not appear at the hearing. CASE INFORMATION Statement of Claim filed: June 20, 1994 Claimant's Submission Agreement signed on: June 17, 1994 Respondem did not file an answer or sign a sub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAL£RS In the Matter of the Arbitration Between Nameofaaimant Oppenlieimer & Co.. Inc. 94-02877 Name of Respondent William Pedone Name of Third-Partv Respondent Marie S. Pollaclc RKPItESENTATIQN For Claimant Oppetineimer & Co., Inc. appeared Lloyd S. Clareman, Esq. located in New York City, New York. For Re.spondent William Pedone appeared F. Tliomas O'Halloran, Esq. located in Provi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05693 Jack R. Keilson, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Danville, CA. For Respondent appeared in-house counsel, Christopher D. Cavuoti, Esq., New York, NY. DATE FILED: October 24, 2001 CASE SUMMARY: Claimant alleged he invested $14,177.00 in Digital Island, a stock respondent strongly recommended. Claimant co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Yves J. Duquella, (Respondent) Case Number: 01-05687 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Attorney at Law, Chicago, IL (Attorney Sugarman was Senior Vice President and Assistant General Counsel of First Union Secur

Award NASD In the Matter of the Arbitration Between: Name of Claimant Onci N. Kelada Name of Respondent Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc. Case Number: 01-05679 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Onci N. Kelada ("Claimant"): Eric E. Ludin, Esq., Piper, Ludin, Howie & Werner, P.A., St. Petersburg, Florida, and Geoffrey E. Partner, Esq., James, Hoyer, Newcomer & Smiljanich, P.A. On or about Janu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Clara P. Craig and Ecclesia, Inc. and Names of Respondents Fahnestock & Co., a division of First of Michigan and Andrew Parish Case Number; 01-05665 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Clara P. Craig ("Craig") and Ecclesia, Inc. ("Ecclesia"), hereinafte