- N.A.S.D. AWARD . agftnrraTTcnr QV sgenaigrgg Anthony H . HosJcins , ; : Claimant , v. Ho. 94-00202 Merrill Lynch, Piarc*, Fanner, & Smith, Inc. Respondent . Of PARTIES Claimant .Anthony H. Hoskins ("Claimant") was represented by Thomas M. Rainey, Esq., Lawrence, Kansas. Reepond< 5nts Merrill Lynch, Pierce, Fenner, & Smith, Inc. and James G, Per list ein were represented by Gordon D. Gee, Esq., of Siegfreia, Bingham, Selzer & Gee, Ka

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02929 Baruch Tandler, claimant vs. Ron Itin, respondent. ATTORNEYS: Claimant appeared Pro Se, Netanya, Israel. Respondent appeared Pro Se, New York, NY. DATE FILED: June 4, 2001 CASE SUMMARY: Claimant alleged that respondent made unauthorized trades of Global Crossing in his account after claimant specifically asked him not to. Claim Data Award Data Claim: $22,000.00 Award

SIMPLIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 94-00201 Priscilla F. Seminara v. Ray Pastor, Hibbard Brown and Company, Inc., FSC Securities Corp., Commonwealth Equity Services, Inc., and Allen J. Schwalb. ATTORNEYS: For Claimant: Brian J. Sheen, Delray Beach, Florida. Respondent Ray Pastor ("Pastor") appeared pro sg. For Respondent FSC Securities Corp. ("FSC"): James M. Kaplan of Wilson Elser Moskowitz Edelman &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of Claimant Tontilia S. Johnson 94-00197 ftlame of Respondents Wheat First Securities, Inc. (n/k/a Wheat First Butcher Singer, Inc.) Walter Lee Clark REPRESENTATION For Claimant Tontilia S. Johnson ("Claimant"): Jeffrey P. Bloom, Esq. of the law firm of Metzger, Hollis, Gordon & Mortimer For Respondents Wheat First Securities, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C r laimftnt Lawrence C. Hesse 94-00190 fame of Robert W. Baird & Co., Inc. Lewis E. Butler REPRESENTATION For Claimant, Lawrence C. Hess, appeared J. Scott Kramer, Esq. from the law firm of Duane, Morris & Heckscher located in Philadelphia, Pennsylvania. For Respondents, Robert W. Baird & Co., Inc. and Lewis E. Butler, appe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Venner 94-00188 Name of Respondents Smith Barney Shearson. Inc. Mitchell Haberman REPRESENTATION For Claimant: David A. Lewis, Esq., Morristown, New Jersey. For Respondent: Douglas C. Wurth of Smith Barney Shearson Inc., New York, New York. CASE INFORMATION Statement of Claim filed: January 14, 1994. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George A. and Isabel DeJuan Jocher 94-00184 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Barry M. Kornfeld Carl Meyer REPRESENTATION Claimants George A. and Isabel D. Jocher ("Claimants") were represented at the hearing by Donald J. Crawford, Attorney at Law. Respondents Merrill Lynch Pierce Fenner and S

N.A.S.D. STIPULATED ARBITRATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First Albany Corporation 94-00181 Name of Respondent Charles Zanleoni REPRESENTATION For Claimant: Jack D. Harvey, Esq. of Harvey and Harvey, Harvey & Mumford, Albany, New York. For Respondent: Charles Zanleoni represented himself. CASE INFORMATION Statement of Claim filed: December 28, 1993.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Jacqueline A. Tosi as Executor of the Estate of Byron G. Tosi 94-00179 Name of Respondents Gruntal &Co., Inc. Milton E. Stanson Peter M. Vita For Claimant Byron G. Tosi ("Claimant") appeared Kevin A. Brousell, Esq., a sole practitioner located in New York, New York. For Respondent Gruntal & Co., Inc., ("GruntaT) appeared Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between J.W. Charles Securities, Inc. 95-00173 Robert J. Solt, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1995, Claimant J.W. Charles Securities, Inc., ("Claimant"), through its representative and in-house counsel, Charles E. Scarlett, Esq., located in Boca Raton, FL, alleged that Respondent Rober