N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimants Noelita and Matthew McGlinchey 95-01774 N flU 1 ? fff Respondents Smith Barney Shearson, Inc. John F. Braca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1995, Claimants Noelita and Matthew McGlinchey ("Claimants"), who appeared Pro Se, alleged that Respondents Smi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03368 A.G. Edwards & Sons, Inc., claimant vs. Alan N. Wolf, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Norman S. Buckvar, Esq., St. Louis, MO Respondent Alan N. Wolf appeared Pro Se DATE FILED: July 23,1999 CASE SUMMARY: Claimant alleged that respondent failed to reimburse the prorated portion of fees advanced. Claimant further alleged that respondent owes addit

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Eileen Donohue 95-05585 Name of Respondents Wayne T. Drinkwine Prime Capital Services, I;;c. William Devine Michael P. Ryan Ralph A. Porpora For Claimant Eileen Donohue ("Donohue"), appeared John E. Lawlor, Esq., a sole practitioner located in Garden City, New York. Respondent Wayne T. Drinkwine ("Drinkwine") appeared pro se. For Respondents Pri

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Gary Steven Sprung 96-00699 Name of Respondent PaineWebber, Inc. REPRESENTATION For claimant Gary Steven Sprung ("claimant") appeared Sheldon Eisenberger, Esq. of The Law Office of Sheldon Eisenberger located in New York, New York. For respondent PaineWebber ("respondent") appeared Joel M. Leifer, Esq. of the law firm of Joel M. Leifer & Associates located in N

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Franchise Development Corporation, (Claimant) vs. Sovereign Equity Management Corp., Thomas Hands, William Clark, Joseph Cosoleto, First Southwest Company, John Curran, Matthew Mauriello, Joseph Giordano, and Robert Carlin, (Respondents) Case Number: 96-05655 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Franchise Development Corporation, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas C. Hodges Names of the Respondents Partner Connections, LLC Kirby Living Trust James Kirby Briden Investments, LLC William Little John Stevko Case Number: 05-02771 (consolidated with 05-04012) Hearing Site: Jackson, Mississippi In the Matter of the Arbitration Between: Name of the Claimant Partner Connections, LLC

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05504 Jonathan B. Mirer Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jonathan B. Mirer, hereinafter referred to as "Claimant": David A. Weintraub, David A. Weintraub, P.A., Ft. Lauderdale, Florida. For Morg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02702 W. Patrick Lentell Name of the Respondent Hearing Site: Richmond, VA Anderson & Strudwick, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For W. Patrick Lentell, hereinafter referred to as "Claimant": Edward B. Lowry, Esq., Michie Hamlett Lowry Rasmussen & Tweel PLLC, Charlottesville, VA. For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard Franklin Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, and Edward J. Warticki Case Number: 04-00859 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Franklin, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04943 Sherrilyn S. Lawrence Alfred E. Moore Paul F. Limandri Lee A. Hammond Hilton Henderson Names of the Respondents Hearing Site: Norfolk, VA Edward D. Jones & Co. L.P. Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherrilyn S. Lawrence, Alfred E. Mo