AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Gunter Klein Claimant NASD Regulation, Inc. v. No. 96-01262 PCM Securities Ltd. Roland I. Greenspan Jeffrey Silverstein Alex DeMars Respondents REPRESENTATION OF PARTIES Gunter Klien ("Claimant") was represented by Theodore R. Chavez, Esq., Law Offices of Theodore R. Chavez, Campbell, California. PCM Securities Ltd., Roland I.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02986 Charles Schwab & Co.. Inc., claimant vs. David Hui, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co.. Inc. ("Claimant"), Edmund V. Saucedo, Esq. of Charles Schwab & Co., Inc., San Francisco, CA. Respondent, David Hui, ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED: June 29, 1999 CASE SUMMARY: Claimant alleged th

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dtapa* Rcnhrtfcn Ip the Muter of the Arbitration Between • Vgffle «rf CfjJBBflt Chaan-YiXa i NASD CASE NO. 9641 104 Securittei Research, be. ATION FOrOnoiiBC Susan L. Dooegan, Bsq., Botton, Maiucbiaeta. Qalane 6,1996, NASD Regulation, inc. received a latter ftom croud stating that ihfl no longer repreiented Claimant in thii natter. OaJmaat appeared pco M» at the erfdwtiaiy hearing of dtiimat

N.A:$.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore B, & Lillie P. Atauasoff 9641036 Name of Respondents Outfield Dean & Company, Inc. Norman KirbyFam, Jr. REPRESENTATION For Claimant: Stephen A, Baker, Esq. of die tow firm of Allan & Shipp, P.A,, St Petersburg, FL. For Respondent Chatfield Dean SL Co., Inc. ("Chatfield Dean"): Chriata D. Taylor, Esq., in-house counsel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: BNS Partnership, Brian Shiftman, Neil Shiffman, Susan Shiffman Kaufman, and Shirley Shiftman (Claimants) v. Kirlin Securities, Inc., UBS Financial Services, Inc. f/k/a PaineWebber, Inc., and Gary Vogt (Respondents) Case Number: 03-00739 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants BNS Par

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph C. Bama And 03-00518 Nashville, Tennessee Name of Respondent Firstrade Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph C. Barna ("Claimant") was represented by G. Kline Preston, IV, Esq., Preston Law Group PC, Nashville, Tennessee. Firstrade Securities, Inc. ("Respondent") was represented by Pet

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Johnson, Claimant v. Olde Discount Corporation, Drew Roth, Daniel Katzman, Ernest J. Olde, Stanley A. Snider, Andrew Paultanis, James S. Freeman, Randal J. Mudge, Michael S. Dzialo, and Daniel S. Patterson, Respondents Case Number: 99-01110 Arbitration Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Bruce Johnson: Robert Uhl, Esq. Aidi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alex Leykin v. E*Trade Securities, Inc. Case Number: 99-912 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Alex Leykin, hereinafter referred to as "Claimant": Mark E. Sanders, Esq. And Mary Beth Peranteau, Esq., Haljing & Cayo, Milwaukee, Wisconsin. Respondent, E*Trade Securities, Inc. hereinafter referred to as "Respondent": Ekwan E. Rhow Esq. And Gary H.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00717 Ken Cutler, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant, Ken Cutler ("Claimant"), appeared Pro Se., Miami, FL. Respondent, Ameritrade, Inc. ("Respondent"), appeared through its Vice President, James A. Ricketts, Bellevue, NE. DATE FILED: 02/17/1999 CASE SUMMARY: Claimant alleged that Ameritrade failed to execute a sell transaction

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant George Sers Case No. 99-00129 Names of Respondents Thos. K. Wasserman & Associates Incorporated Thomas K. Wasserman Alfred Wilfred Simoneau REPRESENTATION OF PARTIES For Claimant: Lonnie K. Martens, Esq. of Kelley & Warren, P.A., West Palm Beach, FL. For Respondents Thos. K. Wasserman & Associates Incorporated ("TKA"), Thomas K. Wasserman ("Wasserma