NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Claimant and Counter-Respondent Financial Northeastern Securities, Inc. Respondents and Counter-Claimants, NASD Case Number: 94-04965 and Third Partv Claimants Norman Steel, Bradley Steel, Sam Steel Company, a Michigan Co-Partnership, Norman Steel, Inc. Employees Retirement Profit Sharing Plan, Norman Steel, Inc. Money Purchase Pension Plan,

94-03520 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Ali M. Al-Quadi Wamg9fR«pgn< |gm Prudential Securities Incorporated REPRESENTATION For Claiinant: Ali M. Al-Quadi ("Al-Quadi") was represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Pamell, P.C, located in St. Clair Shores, Michigan. For Respondent: Prudential Securities Incorporated ("Prudent

N.A..S.D. AWARD NAnONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Susan L. Archbald 95-06071 Name of Respondents Raymond James & Associates, Inc. Ken Carter David O. Hess Investment Management & Research Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 29, 1995, Susan L. Archbald ("Claimant"), who appeared Pro Se, alleged that R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf tfip PlqiTrifmTS Pagp Niimhpr- 01-04238 Morris and Lois Wilkins Gerard F. O'Neill First Union Securities, Inc. Hearing Jiilg' Philadelphia, PA OF PAttTTF.S Claimants, Morris and Lois Wilkins ("Wilkins"), hereinafter collectively referred to as "Claimants' 1 : Timothy G. Lenahan, Esq., Lenahan & Dempsey, P.C., Scranton, PA. Respondents, Gerard F. O'Neill ("O'Ne

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf tVip rifljrpgrjtq Pflsffi f^iirnhflr- 01-04237 Larry and Sandra Harlow T?f>ftprmHp!ntg Hiring site* Milwaukee, Wisconsin Edward D. Jones & Co.; and Kent L. Knutson RFPRFSFNTATTOTM Of f^P JJffi Claimant Larry and Sandra Harlow, hereinafter collectively referred to as "Claimants," were represented by Michael Rachlis, Esq., of Rachlis Durham Duff & Adler, located in Chicag

N.A.S.D. A^ARD NA'nONAL ASSOCUnON OF SECURITIES DEALERS In the Matter of the Aibitration Between NameofClaimantfs) Arthur J. and Patricia Kreidewds 94-02547 NameofResDondentfs^ Menill Lynch Pierce Fenner & Smith Inc REPRESENTATION For Claimants, Arthur and Fatrida Kreideweis ("the Kreideweis'"): Norman Meyers, Esq. of the law office of Norman Meyers, Esq., Sun Gty Center, Fl. For Respondent, Merrill Lynch Pieroe Fenner and Smith, Inc. ("Nfei

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimants Robert B. & Patricia S. Watson 94-04772 N^KIj^ of Re.«yondents Olde Discount Corporation Edward Charles Stockton REPRESENTATION For Claimant, Robert B. and Patrkia S. Watson ("Watsons"), Carl A. Bettoch. Esq. of Tallahassee, Fl. For Respondents Olde Discount Corporation ("Olde") and Edward Charles Stockton ("Stockton"),

94-05266 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Geraldine Moen Name of Respondents R.J. Steichen & Company Teni Moen Fritz Judy Moen Nielsen Carl Moen REPRESENTA'nON For Claimant, Geraldine Moen ("G. Moen"): pro se. For Respondent, R. J. Steichen & Company ("RJS"): Steven E. Rau, Attorney At Law, Minneapolis, Minnesota For Third-Party Respondent, Terri Moen Fritz ("Fritz

Finra FINRA DR In the Matter of Arbitration Between Case: Wachovia Securities, LLC v. George R. Howard, III Docket:2007-016704 Attorneys: For Claimant(s): Andrew R. Park - Richmond, VA For Respondent(s): Jeb Blount - Memphis, TN Date Filed: 3/29/2007 First Scheduled: 11 /08/2007 Decided: 12/14/07 Case Siunmary: Member firm claimant alleges breach of a special compensation agreement and non-payment of a promissory note. Product: Promissory No

IN ARBITRATION BEFORE THE NASD DISPUTE REGULATION, INC. CHARLES E. MAZUROWSKI, as trustee ) of the Charles E. Mazurowski Trust and ) G. THERESA MAZUROWSKI, as trustee ) of the G. Theresa Mazurowski Trust, ) ) NASD-DR No. 01 - 04235 Claimants, ) Hearing Site: Chicago, Illinois ) vs. ) >!/-... 1 P^ fi=> * pu ^ Re»( PRUDENTIAL SECURITIES INC. and ) JDJ ^ © (£ fl ^ ^ MICHAEL J.MARTIN, ) ^ ^04200? /(] / 'I L/1 Respondents.