N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Mat tar of tha Arbitrmtion Batwavn BR< o£ Dlah Thabet va. 92-00773 Dean Witter Reynold*, lac. Robert Inbody ThOBaS For Claimant: Paul W. Thomas, Baq., Carlsbad, California For Respondents: Micbaal J. Abbott, Smq., Jonaa, Ball, Slapaon & Abbott, Lot Angalaa, California Statanant of Claim filad: March 3, 1992 Claimant's Submission Agraaaant signad ons Fabruary 26, 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Claimant Mary A. Reardon No. 92-00771 Name of Respondents Dean Witter Reynolds, Inc. Thomas J. Swik REPRESENTATION OF PARTIES For Claimant: Paul F. Schofield, Esq. of Siebel, Whipple & Schofield, Chicago, II. For Respondents: Curt H. Mueller, .Esq. Vice President & Senior Attorney, Dean Witter Reynolds, Inc., San Francisco, Cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Theresa Lalonde Case No. 99-03093 " Names of Respondents ' Morgan Keegan & Company, Inc. Wilmer J. Freiberg Ryan Reynolds LeBlanc REPRESENTATION OF PARTIES For Theresa Lalonde, hereinafter referred to as "Claimant": Thomas L. Krebs, Esq. of the law firm of Ritchie & Rediker, L.L.C., Birmingham, Alabama and Kirk Reasonover, Esq. of the law fi

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Intercity Company Establishment Case No. vs. 92-00768 Name of Respondents Shearson Lehman Brothers, Inc. Charles Ahto Dominic J. Mariano, Jr. REPRESENTATION Claimant and Counterclaim Respondent Intercity Company Establishment ("Claimant"), is represented by Elisabeth Sieroe Maurer, Esq. located in Ridgefield, Connecticut. Claimant was represented at

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00766 AWARD In che Matter of the Arbitration Between Richard Tanis and Pamela Tanis Claimants VS. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992, Claimants Richard & Pamela Tanis, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. was negligent when t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Wiegand, Claimant v. Wachovia Securities, LLC., Respondent Wachovia Securities, LLC, Counter-Claimant v. Bruce Wiegand, Counter-Respondent Case Number: 06-00462 Hearing Site: San Diego, California Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent ("Claimant"): L. B. Chip Edleson, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Niels William Bjerre, Jr., and Linda Marie Bjerre, Claimants v. Wachovia Securities, LLC, Respondent Case Number: 05-02096 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Nicholas P. lavarone, Esq. SimmonsCooper LLC East Alton, Illinois For Respondent: G. Thomas Fleming III, Esq. Robert J. Gi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria F. Aerts on behalf of the Maria Aerts IRA Roll-Over and Maria Aerts Roth Conversion IRA, Claimants v. H.D. Vest Investment Services and Frederic R. Chavez, Respondents Case Number. 06-03314 Hearing Site: Houston, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard J. Edson, Esq. Law Offices of Richard J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Matthews (Claimant) v. PNC Investments and Stephen Thatcher (Respondents) Case Number: 02-06734 Hearing Site: New York, New York Nature of the Dispute: Customer v. Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laura Matthews, hereinafter referred to as "Claimant": John L. Van Home, III, Esq., Reeve & Van Home, Englewood, NJ. Respondents PNC Inves

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06483 Wendy Ellison, (Claimant) vs. First Citizens Investor Services, (Respondent) ATTORNEYS: For Claimant appeared Romaine Gardner, Esq., from Lincoln Square Legal Services, Inc., and Fordham University School of Law, New York, NY. For Respondent appeared Gary J. Rickner, Esq., of the firm Ward & Smith, P.A., New Bern, NC. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December