Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fahd M. Bunyon, Claimant va. Hilllard Lyons and William R. Wobbe, Jr., Respondents. Case Number: 98-04808 Hearing Site: Louisville. Kentucky REPRESENTATION OF PARTIES Claimant. Fahd M. Bunyon. was represented by Dennis M. Clare, Esq.. Law Offices of Dennis Clare, Louisville, Kentucky. Respondents, Hilllard Lyons ("Hiliiard Lyons") and William R. Wobbe. Jr. ("Wobbe, Jr."), here

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nans of Claimant Nick Fera and 95-00177 Name nf Respondent Milton Manolis REPRESENTATION OF PARTIES Nick Fera ("Claimant") was represented by Peter J. Berman, Esq., Peter J. Herman, Ltd, Chicago, Illinois. Milton Manolis ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about Januaiy 12,1995. Subm

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Francesco Cesario . Case No. 99-03787 Name of Respondents Salomon Smith Barney Inc. John S. Pettigrew Hearing Location: Boston, MA REPRESENTATION OF PARTIES Claimant, Francesco Cesario ("Claimant") was represented by Susan F. Drogin, Attorney at Law, Boston, MA. Respondents, Salomon Smith Barney Inc. ("SSB") and John S. Pettigrew ("Pettigrew

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James T. Hickey; James P, Corradetti 95-02549 NamenfResnondent Hutchinson, Shocluy, Erley & Co. RErRESBWTATyftW For Claimants: James T. Hickey ("Hickey") and James P. Corradetti ("Corradetti") were represented by Nicholas P. lavarone, Esq., of Bellows and Bellows, located in Chicago, lUmois. For Respondent: Hutchinson, Sho

AWARD NASD Dispute Resolution In the Matter of the Aibitration Between Name of Claimant Mary Cathleen Inoiio and 03-06872 Phoenix, Arizona Name of Respondents Davis Distributors, LLC Peter D. SchafTer Nature of the Dispute: Associated Person vs. Member and Associated Person. Mary Cathleen Inorio ("Claimant") was represented by Mary Judge Ryan, Esq., Ryan Tuichick, PC, Phoenix, Arizona. Davis Distributors, LLC and Peter D. Schaffer he

AWARD NASD Oispute Resolution In the Matter of the Arbitration Between: Name of Claimant Securities America, Inc. vs. Case Number: 06-02537 Hearing Site: Indianapolis, Indiana Name of Respondent Gil E. Tallman NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Securities America, Inc. ("SAI" or "Claimant") was represented by James M. Bausch, Esq., Cline, Williams, Wright, Johnson & Oldfather, LLP, Lincoln, N

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Family Management Corporation vs. Names of Respondents National Securities Corporation, Francisco J. Tineo, and Roger A. Monteforte Case Number: 06-01977 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Family Management Corporation ("Claimant") was r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00537 Richard Snyder Marion Snyder Name of the Respondent Hearing Site: Washington, D.C. TD Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Richard Snyder and Marion Snyder, hereinafter collectively referred to as "Claimants", appeared pro se. For TD Waterhouse Investor Se

Award NASD Dispute Resolution In the Matter of the Ari^itration Between: UBS Financial Services, Inc., Claimant v. George R. Marshall, Respondent Case Number: 06-03320 Hearing Site: Salt Lake City. Utah Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: A.J. Bon'elli, Esq. Riker Danzig Scherer Hyland Perretti Morristown, New Jersey For Respondent: Kenneth Parkinson, Esq. Howard, Lewis & Petersen, P.C.

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: The Fisher Intervivos Trust and The Spatz 1974 Tmst, Claimants v. Wedbush Morgan Securities and Michael P. Farah, Respondents Case Number: 05-00601 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Office of Marc I. Zussman Los Angeles, California F