W03Z- I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Donald M. Stone 93-03732 Name of Respondent(s) Alex. Brown & Sons Incorporated Argent Securities, Inc. REPRESENTATION For Claimant, Donald M. Stone ("Stone"): H.A. Pete Kenning of Atlanta, Georgia. For Respondents, Alex Brown & Sons, Inc. ("Alex Brown"): Daniel E. Mclntyre (in house counsel) who appea

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between RONALD POKRES. Claimant. v. NASD No. 93-3674 KEMPER SECURITIES, INC.. Respondent. Representation For Claimant: Ronald Pokres, Glendale. California For Respondent: Don Andrews, Esq. and Renan Sugarman, Esq. of Kemper Securities. Inc. Chicago, Illinois Case Information Statement of Claim filed: September 3. 1993 Claimant's Submission Agreement

N.A.S.D. FINAL ORDER In the Matter of Arbitration Between Name of Claimant George W. McManus 93-03673 Name of Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. For Claimant George W. McManus ("McManus"): George W. McManus, pro se. For Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch"): A. Ward McKeithen, Esq., of Robinson, Bradshaw and Hinson, P.A., located in Charlotte, North Carolina. CASE INFORMATION Sta

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: JOE TAKATS, IE, individually and as representative of the Estate of JOE TAKATS Claimant, and FIN-ATLANTIC SECURITIES, INC. and SAL CHAUDHRY, registered representative, Respondents Case Number: 01-02745 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant Joe Takats, IE and the Estate of Joe Takats, hereinafter (collectively) referred to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00896 Paul L. Struck, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Milwaukee, WI. For respondent appeared in-house counsel, Ronald E. Wood, Esq., San Francisco, CA. DATE FILED: February 29, 2000 a timely manner. Claim Data Claim: $3,302.53 Punitive: $6,607.59 Award Data Award: $.00 Punitive: $.'30 AWARD: The unde

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant William G. Davidson, III 93-03666 NameofResDondents PaineWebber, Inc. Walter Bechtle REPRESENTATION Claimant William G. Davidson, III ("Davidson") was represented at the hearing pro se. Respondents PaineWebber, Inc. ("PaineWebber") and Walter Bechtle ("Bechtle") were represented at the hearing by Frederick D. Greco, Esq., o

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Thomas Maloney, Claimant, v. NASD No. 93-03663 Ladenburg, Thalmann & Co., Inc. and Ed Rivers. Respondents. Representation For Claimant: Thomas Maloney, pro se, Pacific Palisades, California For Respondents: Norman Lawi, Esq. of Ladenburg, Thalmann & Co., Inc., New York, New York Case Information Statement of Claim filed: September 10,1993

NASD AWARD Claimants PaineWebber, Inc. Case Number 93-03662 Respondents Ralph Fuentes REPRESENTATION i Claimant, PaineWebber, Inc. ("PW") was represented by Gary Stegeland, Esq. of PW, Weehawken, NJ. Respondent, Ralph Fuentes ("Fuentes") was pro se. CASE INFORMATION Statement of Claim filed: September 16, 1993. Claimant's Submission Agreement signed on September 13, 1993 by Gary Stegeland on behalf of PW. Respondent failed to fil

NASD AWARD NATIONAL ASSOCIATION OF SECURJITES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles A. and Judith L. Stevens 93-03661 Name of Respondents Xinterfinancial Corporation Jeremy J. Black Women Securities International Corp. Consolidated Investment Services, Inc. REPRESENTATION Charles A. and Judith L. Stevens ("Claimants") were represented by Cameron W. Tyler, Esq., Boulder, Colorado. Interfinancial

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert G. Chappell 93-03660 Name of Respondents Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1993, Claimant Robert G. Chappell, who appeared Pro Se, alleged that he let his broker at Respondent Dean Witter Reynolds, Inc. know that he knew no