N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald W. Benkler vs. 94-03502 Name of Respondents Prudratial Securities Inc Sharon K. Erickson-Wulff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1994, Claunant Ronald W. Benkler, through his representative, Kevui D. Hofman, Esq. of Minneapolis, MN. alleged tiuit Pni

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Martin L. & Trudy H. Waranch, JTTEN 94-03501 Name of Respondentfs) Robert Todd Financial Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1994 Claimants Martin L. Waranch and Trudy H. Waranch, JTTEN, who appeared Pro Se, alleged that Respondent Robert Todd Financial

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kui Quan Zoe Zhao, Claimant v. Merrill Lynch Pierce Fenner & Smith, Inc., and Julia Wan, Respondents Case Number: 01-05112 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Eric F. Hartman, Esq. Law Offices of Eric F. Hartman, Esq. San Jose, California Ben Suter, Esq. Keesal, Young & Logan San Francisco, Cali

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Aibitration Between Name of Chumam Adelaide L. Noel vs. 94-03500 Name of Respondent Edward D. Jones & Co. CAgp ?VMM4yY In a claim filed with the National Association of Securities Dealers, Inc. on August 31,1994, Claimant Adelaide L. Noel, who appeared Pro Se, alleged that Respondent Edward D. Jones & Co., was to check over Claimants portfolio, and Respondent

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert J. Rogoff 94-03499 Name of Respondent Noble Investment Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1994, Claunant Robert J. Rogoff, who ^ipeared Pro Se, alleged that Respondent Noble Investment Co. failed to execute a sale of stock. Claimant further alleged that he was solicited b

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant Richard L. and Barbara Denton and 94-03495 Name of Respondent Stratton Oakmont, Inc. Jordan Belfort Kenneth Greene Daniel Porusch Tim Hills REPRESENTATION OF PARTIES Richard L. and Barbara Denton ("Claimants") were represented by Thomas F. Burke, Esq., Chicago, Illinois. Stratton Oakmont, Inc. ("Respondent Stra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Jack E. Beverland 95-03492 Name of Resiwndent American Express Financial Advisors, Inc REPRESENTATION For Claimant, Jack E. Beverland ("Beverland"): Stephen O. Cole, Esq. of Macfarlane Ausl&y. Ferguson & McMullen, Clearwater, PL. For Respondent, American Express Financial Advisors, Inc. ("AXF"): Gary R. Irwm, Esq. corporate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Richard E. Harris 94-03489 Name of ResDondentfs) Josephthal Lyon & Ross Inc. Robert B. Cohen Jeffrey A. Adams John R. Clark Paul T. Mannion REPRESENTATION For Claimant appeared Barry Anderson, Esq. of Scweber, Izenson & Anderson of Adanta, Georgia. For Respondent Josephthal, Lyon & Ross, Inc appeared Michael Murp

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter ofthe Arbitration Between Nwne of Claimant George M. Jakubik and Delia L. Jakubik and 94-03485 Name of Respondent Dean Witter Reynolds, Inc. Bernard Nugent J. David Crawford REPRESENTATION OF PARTIES George M. Jakubik and Delia L. Jakubik ("Claimants") were represented by David A. Baugh, Esq., Mora & Baugh, Ltd., Chicago, Illinois. Dean Witter Reynolds, Inc. ("

N.A.S.D. AWARD laaiOKKL A880CXATZ0V OT BBCmZTlSS DIALISB in tbft Matter of the Arbitration BetiMon Willlan E. Shaddinger 94-03403 K«M of Raspondent Fidelity Brokerage Services, inc. Claiaant Hilliaa E. shaddinger ("Clainant") appeared pro se but failed to appear at the hearing. Respondent Fidelity Brcdcerage Services, Inc. ("Respondent") was represented at the hearing by Greg Harburton, Senior Financial Representative, Fidelity Brokerage Ser