N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George C. Levine 94-00302 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant George C. Lsvkte ("Claimant"), through his representative, Steven M. Green, Esq., of San Diego, C A., alleged that Respondent Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Younghaus 94-00301 Names of Respondents J.W. Gant and Associates, Inc. Russell Haraborda Tim Wynne For Claimant, John Younghaus ("Younghaus"): Patrick A. Davis, Esq., Clearwater, Florida. For Respondent, J.W. Gant and Associates, Inc. ("JWG"): pro se. For Respondent, Russell Haraburda ("Haraburda"): pro se. For Respondent, Tim Wynn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') ' St. Louis Discount Securities, Inc. 94-00294 Name of Respondent(s) Jeffrey Brooks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant St Louis Discount Securities, Inc., through its representative, Ronnay L. Jackson , alleged that Respondent Jeffrey Brooks w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUETITES DEALERS In the Matter of the Aihkatioa Between Booita R. Wanous, Sevedn Wanoua & S JL Wanous Fainting, Inc. Profit Sharing Plan & Trust 9440293 New England Securities John*. Water of Partita OTTO Tapiaaanfad at the haaritig hy lEWin t>, 'CTnff^yin, Big, , M>* MIM p ftH «. Minneapolis, Minnesota. were xqmaented at the hearing by Paul R. Smith, Esq. of Austin & Abnnu, The St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant John Wedig 94-00292 Name of Respondent Otto Knop CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant John Wedig, who appeared Pro Se, alleged that Respondent Otto Knop of Prudential Securities misrepresented Astrotech International Stock by stating that he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02939 Dorothy C. Allshouse, claimant vs. Morgan Stanley DW Inc., Paul R. Jingosian and Jay Keranen, respondents. ATTORNEYS: Claimant appeared pro se, Troy, MI. For Respondents appeared in-house counsel, Douglas F. Stone, Esq., New York, NY. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondents failed to process her transfer request in a timely manner. Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTIQN T INC. CASE: 00-00925 Dean Witter Reynolds, Inc., claimant vs. Andrew Vrsalovic, respondent. ATTORNEYS: For Claimant appeared Stephen S. Berkeley, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Edward V, Sapone, Esq., New York, NY. DATE FILED: March 2, 2000 CASE SUMMARY: Claimant alleged that the respondent participated in claimant's Account Executive tra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Itzchak Palivathukal and Nancy E. Brim 94-00289 Name of Respondents La Jolla Securities, Inc. First American Biltmore Securities, Inc. Magna Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimants Itzchak Palivathukal and Nancy E. Brim ("C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of (he Arbitration Between Prime Investors, IDC. 94-00288 Alexander M. MacNfcol, dajnunt Prime Investors, Inc. (Trime Investors") was represented by Mark D. Murphy, Esq. of Mitchell, Knstl & Lieber, located in Kansas City, Missouri. Respondent Alexander M. MacNfcoI, m ("MacJficol") was nyreacnledl by G. Edwin Proctor, Jr., Esq. of Hexvner Janett &KunbalI, located in Kansas City,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant *- Robert A. Ruggiero 94-00286 Name of Respondents A.R. Baron & Co., Inc. Andrew Bressman REPRESENTATION For Claimant Robert A. Ruggiero ("Claimant"): James J. Greenfield, Esq. of the law firm of Barrick, Rodos & Bacine, Philadelphia, Pennsylvania For Respondents A.R. Baron & Co., Inc. ("Baron") and Andrew Bress