NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04513 Matthew Ciaramella, claimant vs. Scudder Investor Services, Inc.and Karen Jones, respondents. ATTORNEYS: Claimant appeared pro se, Canton, MA. For Respondents appeared Robert J. Guerin, Vice President Broker Dealer Compliance, Boston, MA. DATE FILED: August 23, 2001 CASE SUMMARY: Claimant alleged that he was wrongfully discharged by respondent. Claimant further alleged th

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Stephen J Chopek and Etona G Chopek v. Retoh & Co., Inc. f/k/a Vantage Securittos, Inc., Howard Beritowttz and Vanden J CatH, Fahnstock & Co., Inc. Attorneys: For Claimant(s): Richard P. Venino Esq. - North Bergen, NJ For Respondenl(s): Erto J. Shames Esq. - New York, NY Date Filed: oa/12/93 First Sctieduled: 02/19/94 Decided: O8/09/95 Case Summary: Claiman

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: shearson Lehman Brothers, Inc. v Steven Furst Attorneys: For Ctaimant(s): James Burroughs Esq. - Minneapolis, MN For Respondant(s): Steven Furst - Wayzata, MN Date Filed: 01/22/93 First Scheduled: 04/20/94 Decided: 1/30/95 Case Summary: claimant, a member firm, alleges that respondent, a registered representative and former emptoyee, failed to repay a loan pursua

y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Hale, OIBenedBHo, eroyies, Andrus and Ridenaur Protil Shartng Plan and TnM, Tnistaaa; Ore. Hale, DiBenedaOO, »oytaa, AndTua & Ridenour (A Medical Corporalnn); JoMpft N. Broytaa, M.O.; and Timottiy G. An*w, M.D. v Shsarson Lehman Brothars, Ine. and Shaaisen Lehman Hulton, IncL! and Felua R MttKowon Attomeys: fior CWnwnM: David S. Rubin Esq, - Baton Rotjge, LA Ror Raqiondeii

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Charles McNeil Burpee v Ridiard Chegar & Prudential Sacurities, Inc Attorneys: For Claimant(s): Mark E. Maddox Esq - Indianapolis, IN For Rapondanl(s): Patrick Gaffney Esq. - New York, NY Date Filed: 03/19/93 First Scheduled: oe/07/94 Decided: 05/25/95 Case Summary: Claimant, a customer, has alleged that respondents made unsuitabto trades and churned the account as a

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Securities Inc. v. James /Anderson Attorneys:". For Claimanl(s): James M. Bergen Esq. - New York, NY For Respondents): Davto E. Robbins Esq. - New York, NY Date Filed: 03/09/93 First Sctieduled: 04/18/94 Decided: 03/I6/95 Case Summary: Member firm altoges ttiat registered representative defaultad to repayment of toans after his voluntary resignation from t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Ronald T. Walls and Kim Skinner Case No. 00-01292 Names of Respondents Quick and Reilly, Inc. U.S. Clearing Corporation REPRESENTATION OF PARTIES For Ronald T. Walls ("Walls") and Kim Skinner ("Skinner"), hereinafter referred to as "Claimants": Neal J. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Respondents Quick and Reil

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Susan Brenner v I>san Wlttar Reynolds, Inc. and Darius Sanandaji Attorneys; For CUmaial^y Alan Benjamin Miltor Esq. - Highland Park, IL For Respondenlts): David P. RMtaklo Esq. - San Francisco, CA Date Filed: 02/10/93 First Scheduled: io«5/93 oecided: %   L ° [ ^ ^ Case Summary: Customer against membor firm and ragisifirBd representative f

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Ran M. Khan V. H.J. Meyers and H.J. Mbyers & Company tnc. Attorneys:.. For Clainiant(s): Rati M. Khan - La Canada, CA Fbr Respondenl(s): Kate W. Ouchene Esq. - Los Angetos, CA Vtotoria D. StraUnan Esq. - Los /kngeles, CA Date Filed: os/04/94 First Scheduled: 02/07/95 Decided: J-fZ-fJ^ Case Summary: Ctoimant, a registered representative and former emptoyee, seeks

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company vs. Michael Stanton Attorneys: For ClainKuit(s): Rtohard Janvey Esq. - New Yori(, NY Fbr Respondeni(a): Herbert Jacobi Esq. - New York, NY Date Filed: 05/11/94 First Scheduled: 11/15/94 Decided: 03/13/95 Case Summary: Member Firm vs. Registered Rep (former employee) seeking to recover an amount allegedly due on a promissory note I commission def