N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrili Lynch Pierce Fenner & Smith Inc 96-01988 Name of Respondent Ronald L. Sabott CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1996, Claimant Merrill, Lynch, Pierce, Fenner & Smith, Inc., through its representative, Lisa S. Kahn, Esq., of the law firm of Davis, Graham & St

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Alloy vs. William P. Burke, Jr., Lawrence Wachler, and Gilford Securities, Inc. Case Number: 96-01982 Hearing Site: San Francisco, California. I. PARTIES Claimant is Mark Alloy. Respondents are William P. Burke, Jr., Lawrence Wachler and Gilford Securities, Inc. II. COUNSEL Counsel for Mark Alloy at the initiation of this action was Patrick Baldwin, Esq. and Chris

V-"' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-01971 Paul Holthouse, claimant vs. J.A. Overton & Co. Inc., Thomas Patrick Median, Robert Conine, Robert Earl Watts, Doug Glaser, Dan Lehl, William L. Atkinson, Dariusz Zalewski and James Yeager, respondents. ATTORNEYS: For Claimant James A. Sigler, Esq., Redwood City, CA For Respondent Respondents J.A. Overton & Co. Inc., Thomas Patrick Meeha

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Roman D. Melnyk & Helen E. Melnyk 96-01970 Name of Respondents Sal Weisbord Securities Planners Inc. CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc, on May 7, 1996, claimants Roman and Helen Melnyk ("claimants") who appeared Pro Se, alleged that resp

NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Thomas W. Mauser Susan M. Kastle 96-01967 Name of Respondents Terri Blair Lawrence W Forlenza REPRESENTATION For Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), Thomas Hauser ("Mauser") and Susan Kastle ("Kastle") collectively "claimants", and for Third-Party Res

AWARD MASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant fs) R.E. Lance Cleaver Arbitration No. 96-01958 Name of Respondentf A.T. Brod & Co., Inc. Paul Martin Moeller Curtis R. Papazian James Dale Green, Jr. Julia A. Mold-Torres REPRESENTATION For Claimant: R.E. Lance Cleaver, Salinas, California For Respondent Curtis R. Papazian: Curtis R. Papazian, Oceanside, Ca

* \ + N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Joseph W. and Janice D. Hoffman 96-01947 Name of Respondent Steven D. Manning REPRESENTATION For Claimants Joseph W. and Janice D. Hoffman ("the Hoffmans"): Russell L. Forkey, Esq., Fort Lauderdale, Florida. For Respondent Steven D. Manning ("Manning"): Steven R. Reininger, Esq., of Rasco & Reininger, Miami,

f- f . N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William H. Schmieder 96-01946 Names of Respondents i Retirement Investment Group, Inc. I Gail Ann Gentry ; TEI Strategies, Inc. Aragon Financial Services, Inc. Thomas Cannon ! i REPRESENTATION | For Claimant: Jeffrey P. Coleman, Esq., Clearwater, Florida. I For Respondent Retirement Investment Gro

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Jeff D. McGee 96-01943 Name of Respondents Jack Basile Mark Mancino Mark Antonucci REPRESENTATION Claimant Jeff D. McGee ("claimant") appeared Pro Se. For Respondent Jack Basile ("Basile") appeared Michael Ference, Esq. of the law firm Lampert & Lampert located in New York, New York.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02063 Anthony Sterling Magnoli, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant appeared Pro Se, Meriden, CT. For Respondents appeared Richard Cadigan, Compliance Officer, Jersey City, NJ. DATE FILED: April 24, 2001 CASE SUMMARY: Claimant alleged that respondent made an unauthorized sell out of 835 shares of Alexion Phar. Inc. to pay off a margin call that he