N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Jones Case No. vs. 94-01637 I^ame of Respondents Douglas Marc Reiner/Reinowitz J. Gregory & Company, Inc. REPRESENTATION For Claimant, John Jones ("Claimant"), Adolph D. Seltzer, Esq., Attorney at Law located in New York, New York. For Respondent, J. Gregory & Company, Inc. ("J. Gregory"), Lorette D. Farris, Compli

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION^ INC, CASE: 01-03015 PHD Capital Corp., Claimant vs. Eleftherios N, Ftilakis, Respondent. ATTORNEYS: For Claimant, PHD Capital Corp., ("Claimant"), appeared Michael S. Colombo, of the firm Streetwide Asset Recovery Group, Inc., New York, NY. Respondent, Eleftherios N. Ftilakis, ("Respondent"), did not respond to the Statement of Claim. DATE FILED; June 7, 2001 CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C. Richard Morrow 94-01633 Name of Respondents OLDE Corporation Edward Bristow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant C. Richard Morrow, who appeared Pro Se, alleged that Respondent Edmond Bristow ("Bristow"), a broker at Respondent OLDE Discount

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02517 Scottrade, Inc. Name of the Respondent Hearing Site: Little Rock, Arkansas Donald A. Bryant Nature of the Dispute: Member v. Customer. REPRESENTATION OF PARTIES For Scottrade, Inc., hereinafter referred to as "Claimant": Thomas L Azar, Jr., Esq., Thompson Coburn, LLP, St. Louis, Missouri. Donald A. Bryant, hereinafter referred t

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James Financial Services, Inc. Names of the Respondent Ronnie W. Flint Case Number: 06-00481 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc., hereinafter referred to as "Claimant": Jonathan E. Perlman, Esq., Genovese Jobl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stern Agee & Leach, Inc. Names of the Respondents Coker, Palmer, Phillips & Mullen Paul T. Westervelt, Jr. Michael D. Bodino Case Number: 05-05523 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES Stern Agee & Leach, Inc., hereinafter referred to as "Claimant", Patric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04314 Betsy Engel Name of the Respondent Hearing Site: Richmond, Virginia Bane of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Betsy Engel, hereinafter referred to as "Claimant": Robert A. Kantas, Esq., Shepherd, Smith & Edwards, LLP, Houston, TX. For Bane of America Invest

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04092 Wachovia Securities, LLC. Name of the Respondent Hearing Site: Boca Raton, Florida Angel Beguiristain Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04056 Horwitz & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Terrence W. Toppin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Horwitz & Associates, Inc., hereinafter referred to as "Claimant": Helen B. Bloch, Esq., Bellows and Bellows, PC, Chicago, Illinois. For Terrenc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03409 Michael J. Martin, Jr., individually and as Personal Representative of the Estate of Michael J. Martin, Sr. Name of the Respondent Hearing Site: Tampa, Florida. Raymond James & Associates, Inc. Name of Third-Party Respondent Helen Martin Nature of the Dispute: Customer vs. Member vs. Non-Associated Person. REPRESENTATION O