Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keith J. Wertz, Claimant v. Charles Schwab & Company, Inc. and Gregory D. Morris, Respondents Case Number: 01-04263 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Keith J. Wertz In Propria Persona Lake Forest, California For Respondents: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, California CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Gerald Fodella Case No. 00-01362 Narne of Respondents Emniett A. Larkin Company, Inc. Arthur A. Toth, III Hearing Site: Pittsburgh. PA REPRESENTATION OF PARTIES Claimant, Gerald Fodella ("Fodella") was represented by: John M. Steiner, Esq.. Leech irishman Fuscaldo & Lampl LLC, Pittsburgh, PA. Respondent, Emmett A. Larkin Company, Inc. ("Emmett Larking'') was rep

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Cldmants John J. Ispecky Frances C. Ispecky JTWROS 944)5047 Name of Respondent Globd Strategies Group, Inc. CASE SUMMARY In a claim filed with die Naticnd Association of Securities Deders, Inc. on December 1,1994, Qdmants John J. Ispecky and Frances C. Ispecky JTWROS, who appeared Pro Se, dleged that Respondent Globd Strategies Grou

N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECLTWTIES DEAI.ERS In the Matter of the Arbitration Between Name of Claimant S.D. Cohn and Co., Inc. 94-05042 Name of ResiK)ndent Anthony M. Richards REPRESENTATION For claimant S.D. Cohn & Co., Inc. ("claimant") appeared Robert B. McKay, Esq. of the law firm of Carney & McKay, located in Garden City. New York Respondent Anthony M. Richards ("Respondent") appeared pro se. Statement of Claim was fi

N.A.S.D. AWARD .NATIONAL ASSOCLVTION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant David L. Gertz 944)5038 Name of Respondent^ Douglas Klares The Harriman Group, Inc. CASE SUMMARY In a claim filed widi die Nationd Association of Securities Deders, Inc., on November 30, 1994, Gaimant. David L. Gertz, who speared Pro Se, aUeged that Respondents, Douglas Klares ("KbHres") and The Harriman Group, Inc. ("THG"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Earl J. Ziegler 94-05036 Name of Resixindent Gmntd & Co., Inc. CASE SUMMARY In a claim filed with the Nationd Association of Securities Dealers, Inc. on November 30,1994, Claimant Earl J. Ziegler, who appeared Pro Se, alleged that Respondent Gmntd & Co., Inc. failed to execute a sale of stock for him. Claiinant further alleged

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ngme of Clajmant Kathleen T. Metzman 94-05031 Name of Respondent Citicorp Investment Services CASEJSUMMARy In a claim filed with the Nationd Association of Securities Dealers, Inc. on November .10, 1994, Cldmant Kathleen T. Metzman, who appeared Pro Se, alleged that Respondent Citicorp Investment Services ("CIS") has fdled to pay her an incenti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Darrel J. & Sharon K. Riedel Name of Resixindentfs^ First Options of Chicago, Inc. 94-05025 REPRESENTATION Darrel J. Riedel and Sharon K. Riedel ("Cldmants") were represented by Thomas P. Ward, Esq. uf McBride, Baker & Coles located in Chicago, Illinois. First Options of Chicago, Inc. ("Respondent") was represented by Stephe

N.A.S.D. AWARD NATIONAL ASSOCL^TION OF SEajRITIES DEALERS In the Matter of the Arbitration Between Name of Cldmant Rose G. Cunningham 94-05018 Name of Resnondents NationsSecuritie:'. Richard R. LewellMi In a claim filed with the Nationd Association of Securities Deders, Inc. on November 29, 1994, Claimant Rose G. Cuoniogham, who appeared Pro Se. dleged that Respondents NationsSecurities and Richard R. Lewellen, disregarded her instmcticns to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Thomas V. Williams 94-05016 Name of Restwndentfs') Noble Investment Co. Jeffrey Schuler CASE SUMMARY In a claim filed with the Nationd Association of Securities Dealers, Inc. on November 29,1994, Claimant Thomas V. Williams, who appeared Pro Se, alleged that Respondent Jeffrey Schuler, through the Respondent firm Noble I