N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEKLEBS In the Matter of the Arbitration Between ~ Richaitl & Annette Currier 89-02803 of Fidelity Brokerage Services, Inc. Claimants »i loyH that after instructing Respondents to purchase certain stocks en margin and after the TTrnji iikiil followed the instructions, Respondent subsequently imqiyj margin "»TI« to the Claimants, clai alleged that they then instructed the rvnnulniis to sell the aforementio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stewart Michael Rixson Claimant(s) vs. John McMaster, William J. Billeaud and Thomas James Associates Respondent(s) NOTICE OF ARBITRATION AWARD 89-02801 CASE SUMMARY Claimant(s) Stewart Michael Rixson alleged that Respondent(s) John McMaster, William J. Billaaud and Thomas James Associates made misrepresentations.. Respondent John McMaater mai

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Ferrari as the father and natural guardian of Mark Ferrari, (Claimant) vs. Prudential Securities Incorporated, Donald Sarner, and Harold Koven, (Respondents) Case Number: 99-02851 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant John Ferrari as the father and natural guardian of Mark Ferrari, hereinafter referred to as "Claimant": Edward J. Yun, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elena M. D'Alessandro Claimant(a) vs. 89-02799 First Swiss International Securities Corp./ Allied Capital Group and Tim Daubert Respondent(s) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Elena M. D'Alessandro alleged that Respondent(s) First Swiss International Securities Corp., Allied Capital Group and Tim Daubert made wilful misr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Janes A. Paradise ) ) Case NO. 89-02796 Raymond, James & Associates, Inc. } John A. Valldejuli ) William H. Hermanns ) ) Heard before the Arbitrator: John E. Cullffn, Esq. Public Claimant, Janes A. Paradise ("Paradise"), was represented by Adrian R. Castro, Esq. of the Law Offices of Adrian R. Castro, Esq. Respondent, Raymond Janes &

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS "In"the Matter of the Arbitration Between Name of r]aimant|s| Thomas Hunziker & Mary Eagan National Association of Securities Deators. Inc. Suite 1680 Three First National Plaza Chicago. II 60602 1312) 899-4440 83^2794 Piper, Jaffray & Hopwood, Inc. Ben Marks This claim was initiated by a Statement of Claim filed with the National Association of Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PI IHI IP Name of Claimants David Smith. Norma Smith, David Smith as Custodian for David E. Smith Basic Plan (an IRA Account Plan) and David and Norma Smith, on behalf of David & Norma Smith CASE #89-02790 Pension Plan Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc David Matta REPRESENTATION For Claimant: Maurice A. Nernber

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas C. Canavan, Individually and as Beneficiary of Thomas C. Canavan, IRA; Natalie J. Canavan, Individually and as Trustee of the Thomas C. Canavan 1993 Childrens' Trust UA DTD 11/15/93 FBO Kelly L. Canavan and FBO Mary Ann Canavan; Kelly Lynne Canavan, Individually and as Trustee of the Canavan Family 1997 Insurance Trust; and Mary Ann Canavan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wells Fargo Investments, LLC vs. Case Number: 06-00217 Hearing Site: Detroit, Michigan Name of Respondent Stephen C. Hayward NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant") was represented by Diane C. Fischer, Esq. and Stuart Primack, Esq., Kane & Fischer, Ltd., Chicago, Illino

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Scottrade, Inc. vs. Case Number: 06-02536 Hearing Site: Dallas, Texas Name of Respondent Ozra Esfandiari NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Scottrade, Inc. ("Claimant") was represented by Thomas L. Azar, Esq., Thompson Coburn, LLP, St. Louis, Missouri. Ozra Esfandiari ("Respondent") did not appear. CASE IN