NATIONAL ASSOCIATION OF SECURITIES DEALERS. ING, rr 5) t? ft? f? n w/ (? [Hi L ? I i j. AWARD • nr{0 07 1998 NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Estate of Stephen J. Daniels and 97-06021 Name of Respondent J.C. Bradford & Co. William Gibson REPRESENTATION OF PARTIES Estate of Stephen J. Daniels ("Claimant") was represented by Michael H. Gertner, Esq., Ger

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-06020 Eugene M. Whitman, claimant vs. Marc Felice and J. W. Barclay & Co. Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. For Respondents appeared Compliance Director, Theo S. Basis, New York, NY. DATE FILED: December 29, 1997 CASE SUMMARY: Claimant alleged that respondents disregarded his order to sell 1100 shares of Tellurian (TRL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Claimant Case Number 04-001 52 RBC Dain Rausher, Inc. Name of the Kfispnndent Hftflring Site- Richmond, Virginia Bernard A. Davey, in Nature of the Dispute: Member vs. Associated Person RFPRF.SFNTATTON OF P AKTTF.S Claimant, RBC Dain Rausher, Inc., hereinafter referred to as "Claimant", was represented by Johnathan M. Harris, Lindquist & Vennum, P.L.L.P., Minnea

I f • ' ,* - * Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00151 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Tampa, Florida Mark Mismas Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C., hereinafter referred to as "Claimant": Jonathan Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Vir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00145 Roger Picard and Doris Picard, Claimants vs. Noble International Investments, Inc., Wayne Home, and Nicolas Prank, Respondents ATTORNEYS: For Claimants Roger Picard and Doris Picard ("Claimants") appeared April I. Halle, Esq. of the firm Stollman & Grubman, P.A., Boca Raton, FL. For Respondents Noble Investments, Inc., Wayne Horne, and Nicolas Pronk ("Respondents") appeared Peter J

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00141 Thelma Janowitz, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman, Respondents ATTORNEYS: For Claimant Thelma Janowitz ("Claimant") appeared Marshall P. Richer, Esq., of the firm Finkelstein & Partners, Albany, NY. For Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Grubman (collectively "Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert and Bettty Goldstein, (Claimants) vs. John Hancock Financial Services, Inc., Signator Investors, Inc.J and Charles Carinda, (Respondents) Case Number: 01-01735 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Robert and Betty Goldstein, hereinafter collectively referred to as "Claimants": Thomas H, Tubker, Esq., a sole practitioner, Duxbury, MA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-00140 Harry Becker, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B Grubman, Respondents. ATTORNEYS: " For Claimant, Harry Becker, ("Claimant"), appeared Joel S. Finkelstein, Esq., of the firm Finkelstein & Partners, Newburgh, NY. For Respondents, Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., and Jack B, Grubman, ("Respondents"),

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Spelman & Company, Inc. and Respondent James A. Parrelly Case Number: 04-00133 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Speiman & Company, Inc. ("Claimant") was represented by John Fahey, Esq., SunAmerica Securities, Phoenix, Arizona. James A. Parrelly ("Respondent") was represented

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. Marvin Friedman and Rivka Friedman (Claimants) v. Chase Investment Services Corp. and Neil Cunningham (Respondents) Case Number: 04-00127 . Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants S. Marvin Friedman and Rivka Friedman hereinafter collectively referred to as "Claimants": Brian H. Reis, Esq., New York, NY. Respondent Chase Investment Serv