AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant F. Clark Gardner, M.D., v. Name of Respondents Stratton Oakmont, Inc., Samuel R. Weber, Daniel M. Porush, Jordan Shamah, Andrew T. Greene, Paul F. Byrne, Mathias V. Tiffert, Leonard Dunn, and Steve Sanders NASD Regulation, Inc. Arbitration No. 96-02076 REPRESENTATION For Claimant: For Respondent Daniel M

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant Biltmore Securities, Inc. 96-02068 Name of Respondent Lee Duran CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 15, 1996, claimant Biltmore Securities, Inc. ("claimant") through its representative and counsel, Peri Erlanger, of the law Firm of Bernstein & Wasserman, LLP, located in New York, New York, alleged that responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George W. Fogleman 96-02065 Name of Respondent Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant George W. Fogleman ("Claimant") who appeared Pro Se, alleged that in March 1994 he transferred his Individual Retirement Account to Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol Kunik 96-02064 Name of Respondent Bradford P. Billings CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant Carol Kunik ("Claimant"), who appeared Pro Se, alleged that Respondent Bradford P. BUlmgs ("Billings") failed to execute a sell order. Claimant further al

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy A. Mauch, Robert E. Smith and James D. Smith (JTWROS), and Robert E. Smith and Annette M. Smith (JT TEN) and 96-02062 Name of Respondent Miller Johnson & Kuehn, Inc. Brent Ripley REPRESENTATION OF PARTIES Dorothy A. Mauch, Robert E. Smith and James D. Smith (JTWROS), and Robert E. Smith and Annette M. Smith (JT T

AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Alex Weber Violet Weber Claimant(s) NASD Regulation, Inc. v. No. 96-02060 Smith Barney, Inc. Brad Backes Respondent(s) REPRESENTATION OF PARTIES For Claimants: Charles S. Ferguson, Esq., Seattle, Washington For Respondents: Eric D. Lansverk, Esq., Hillis Clark Martin & Peterson Seattle, Washington CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dubl I Investments 96-02058 Name of Respondent Pacific Brokerage Services, Inc. Jason Wallace James (Mike) Kruger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1996, Claimant Dubl I Investments ("Claimant") through its representative, Ivan Tobias, Partner, alleged tha

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Chilcott Entertainment Corporation and 96-02057 Name of Respondents John G. Kinnard and Company, Inc. Arthur Obermeier Alex. Brown & Sons Incorporated REPRESENTATION OF PARTIES Chilcott Entertainment Corporation ("Claimant") was represented by Thomas, R. Bromberg, Esq., Brenman Key & Bromberg, P.C., Denver, Colorado. Joh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Frank W. Simms, III Name of Respondent Prudentiai Securities, Inc. 96-02054 REPRESENTATION Claimant Frank W. Simms, ni ("Claimant") was represented by James P. McCrocklin, Esq., Louisville, KY. Respondent Prudential Securities, Inc. ("Respondent") was represented by William W. Allen, Esq., Lexing

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02067 Ameritrade, Inc., claimant vs. Rick Lee Jakobsen, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the unsecured debit balance on his account. Claim Data Award Data