NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Lt« Matter of the Arbitration Between * Je k and Wanda Sattalo * Claimant * Case 89-03238 Award Cuv- t) & Company, Inc. Respondent * vs ix>" .< ? Zagar * Third-Party * Respondent -. __ _ ___ --.* CASE SUMMARY Claimants Jack and Wanda Sattalo (hereinafter "Claimants") alleg d that Respondent Cowen & Co., Inc., (hereinafter "Cowen") agent Third Party Respondent Loui

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Suzanne P. French Claimant vs. Dean Witter Reynolds, Inc. Stuart A. Munro Ronald Carlson Respondents ) AWARD ) ) NASD NO. 89-03196 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 11, 1989. Claimant* alleged misrepresentation and lack of suitability with respect to pur

N.A.s.n. National AMoetttlon of Securities Outore, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS 425 California st.. Rm. 1400 San Francisco. CA 94104 In the Matter of the Arbitration Between { *?* } 781-3343 FAX: (415) 362-9946 Name o f ClaJngntj_s_V Eruch N & Lily E. Karanjawala 39-02739 O.R. Securities, Inc. WZW Financial Services, Inc. WZW Capital Planning Inc. North American Securities Corp. Ronald S^lcia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hudson C. Millar, Jr. and {Catherine G. Millar 95-02516 Name of Respondents Dean Witter Reynolds, Inc. William J. Stevens In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1995, Claimant Hudson C. Millar, Jr. and Katherine G. Millar, who appeared Pro Se, alleged that Respondents Dean Witter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margarita Ogorzalek (Claimant) vs. American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. (Respondent) Case Number: 05-06536 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Margarita Ogorzalek, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Attorney At Law, Farming

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene L. Roister (Claimant) vs. Morgan Stanley DW, Inc. (Respondent) Case Number: 06-00051 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Eugene L. Roister hereinafter referred to as "Claimant" appeared pro se. Respondent Morgan Stanley DW, Inc. ("Morgan Stanley") hereinafter referred to as "Respondent": John L. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charlie and Nancy Walsh (Claimants) vs. Westrock Advisors, Inc., and Brian Crawley (Respondents) Case Number: 06-00437 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charlie and Nancy Walsh ("Walsh") hereinafter collectively referred to as "Claimants": Jennifer L. Markowski, Esq., Peabody

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephine Holmes, Claimant v. Citigroup Global Markets Inc., Respondent Case Number: 06-02626 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Josephine Holmes In Propria Persona Milpitas, California For Respondent: Garrett R. Wynne, Esq. Keesal Young & Logan San Francisco, California Hugo A

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Ronald M. Parks and Lynn E. Parks and 99-03559 Kansas City, Missouri Name of Respondents Olde Discount Corporation Todd Bukaty Barry C. Wheeles Ernest J. Olde REPRESENTATION OF PARTIES Ronald M. Parks and Lynn E. Parks ("Claimants") were represented by Barry D. Estell, Esq., Mission, Kansas. Olde Discount Corporation ("Respondent Ol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04974 Citicorp Financial Services, Corp. Name of the Respondent Hearing Site: San Juan, Puerto Rico Luciano Porzio Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Citicorp Financial Services, Corp. ("Citicorp"), hereinafter referred to as "Claimant": Jordan D. Becker, Esq., Paduano & Weintraub, New York,