Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00602 Bill F. Ford Names of the Respondent Hearing Site: Columbia, South Carolina Brinker Capital Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bill F. Ford ("Ford"), hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Houston, Texas. For Brinker Capital S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06350 Eleanor C. Henley Carlee J. Henley Bonnie Lisk Myron Barbee Lorene Easley Elizabeth Davis Netherlan Davis Mary Smith Jan Cameron William W. Roberts William E. Roberts Lloyd Easley Steven Gordon Eugene A. Blackwell Elizabeth Blackwell Mildred Price George Price Archie Jordan Name of R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of Respondent Gregg F. Gallagher Case Number: 05-05125 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Adam J. Steinberg, Esq., Carlton Fields, P.A., Miami, Florida. R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03014 Weisensel Family Trust, Claimant vs. Russo Securities Inc. and William Brown, Respondents. ATTORNEYS: For Claimant, Weisensel Family Trust, appeared Stanley T. Padgett, Esq., of the firm Morgan, Padgett & Associates, P.A., Tampa, FL. For Respondent, Russo Securities Inc., appeared Ron Armitage, Compliance Department of Russo Securities, Inc., Staten Island, NY. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 94-01534 (consolidated with 94-02689) [n the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc Name of Respondents Scott M. Zimmerman David B. Kusiel REPRESENTATION For Claimant Prudential Securities Inc: G. Wayne Hillis, Esq. of the law firm of Parker, Hudson, Rainer & Dobbs, Atlanta, GA. For Respondents Scott M. Zimmerman and David B. Kusiel: John E. N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin P. Wilson 94-01507 Name of Respondents Oppenheimer & Co., Inc. Jason Cinder CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1994, Claimant, Edwin P. Wilson, who appeared Pro Se, alleged that Respondent, Jason Ginder of the firm Oppenheimer & Co. Inc., solicited .bun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla David Jon Korotkin 94-01505 Name of Respondents L.C, Wegard & Co. Joseph Orlando Neil White CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 22, 1994, Claimant David Jon Korotkin, who appeared Pro Se, alleged that Respondent Joseph Orlando of L.C. Wegard & Co. recommended he pu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o_f_Gairnant(s) Walter E. Dyck 94-01503 Name of Respondent(s) Barrett Day Securities, Inc. (Bankrupt) David Feyjin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1994 Claimant Walter E. Dyck ("Claimant"), who appeared Pro Se, alleged that Respondent David Feyjin ("Respondent") charg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03034 Investec Ernest & Company, Inc., Claimant vs. Ricardo Broome, Respondent. ATTORNEYS: For Claimant, Investec Ernest & Company, Inc., appeared Michael S. Colombo of Streetwide Asset Recovery Group, Inc. New York, NY. Respondent, Ricardo A. Broome, appeared Pro Se, New York, NY. DATE FILED: June 8, 2001 CASE SUMMARY: Claimant alleged Respondent failed to pay back training and re

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Securities America, Incorporated and NASD Case Number 94-01474 REPRESENTATION OF PARTIES Claimant, Securities America, Inc. was represented by Kelly R. Dahl, Esq. of Baird, Holm, McEncii-jit ;'eaen.;en. Hamarin & Srra.iri,i:;< .«• :;\:cd in Omaha, N-.-;br< •,.;•; • Respondent, Nick Kmezich was represented by James R. Place, Esq. of The Place Law Offices